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Constitutional and statutory provisions and constitutional ethics rules governing the ethical conduct of state officers and employees and campaigns for state office or state issues

CONSTITUTIONAL AND STATUTORY PROVISIONS
and
CONSTITUTIONAL ETHICS RULES
governing the
ETHICAL CONDUCT
of
STATE OFFICERS AND EMPLOYEES
and
CAMPAIGNS
for
STATE OFFICE OR STATE ISSUES
*****
EFFECTIVE JULY 1, 2011
2300 North Lincoln Boulevard, Room B5 ! Oklahoma City, Oklahoma 73105-4812
(405) 521-3451 ! FAX (405) 521-4905 ! WEBSITE www.ethics.ok.gov
PREAMBLE
This document contains the following:
! Article XXIX of the Oklahoma Constitution titled Ethics Commission;
! Canon 5 of Chapter 1, Appendix 4 of Title 5 of the Oklahoma Statutes [Code of Judicial
Conduct]
! Section 48 of Title 17 of the Oklahoma Statutes;
! Sections 187, 187.1 and 187.2 of Title 21 of the Oklahoma Statutes;
! Sections 334, 360 and 463 of Title 21 of the Oklahoma Statutes;
! Section 2358.3 of Title 68 of the Oklahoma Statutes;
! Chapter 62–Ethics Commission Act [Sections 4200 through 4248.1 of Title 74 of the Oklahoma
Statutes [repealed];
! Chapter 62–statutes governing lobbying registration and activities, revolving fund
and local candidates filing electronic reports [Sections 4249 through 4260 of the Oklahoma
Statutes]; and
! Chapter 62–Appendix: Title 257. Ethics Commission [Sections 257:1-1-1 et seq. of the
Rules of the Ethics Commission, 74 O.S. 2011, Ch. 62, App.] [the “Rules”]. Amendments adding
or deleting language to the Rules and a synopsis of the amendments, which take
effect July 1, 2011, are available on the agency’s website as “2011 Promulgated
Rule Amendments" and “Synopsis of 2011 Promulgated Rule Amendments” at:
WWW.ETHICS.OK.GOV
Please note that the Ethics Commission has jurisdiction over the Political Subdivisions
Ethics Act [for county campaigns and officeholders] and the Rules of the Ethics
Commission only. The Commission has no jurisdiction to enforce other statutes,
whether they carry civil or criminal penalties. Related statutes to the ethics of state
officers or employees or state campaigns are included in this compilation for the
convenience of the user.
1 CONSTITUTION OF OKLAHOMA Art. 29 § 3
O.S. 2001
ARTICLE XXIX. ETHICS COMMISSION
1. Ethics Commission–Appointments–
Qualifications–Terms–Vacancies–Quorum
2. Appropriation–Compensation–Staff
3. Ethics Rules
4. Investigation–Decision–Subpoena Power
5. Ethics Interpretations
6. Criminal Penalties
7. Removal
§ 1. E th ic s Commis s io n –Ap p o in tmen ts –
Qualifications–Terms–Vacancies–Quorum
Ethics Commission–Appointments–
Qualifications–Terms–Vacancies–Quorum
A. There is hereby created the Ethics Commission
which shall consist of five members. The Governor,
Attorney General, President Pro Tempore of the
Senate, Speaker of the House of Representatives, and
Chief Justice of the Supreme Court shall each appoint
a person who is a registered voter of this State to the
Commission. The initial terms of the Governor's and
Attorney General's appointees shall be one year; the
initial terms of the President Pro Tempore's and
Speaker's appointees shall be three years, and the
initial term of the Chief Justice's appointee shall be five
years.
B. No congressional district shall be represented by
more than one Commissioner, and no more than three
persons of the same political registration shall serve on
the Ethics Commission at the same time.
C. After the initial terms, members of the Ethics
Commission shall serve terms of five years. No
person shall be appointed to the Commission more
than two times in succession, except the initial
members who serve less than five-year terms may be
appointed three times in succession. A vacancy on the
Commission shall be filled for the remainder of the
unexpired term by the appointing authority.
D. The members of the Commission shall choose a
chair from among themselves.
E. The term of office for a Commissioner shall
commence at noon on the second Monday in July.
F. No member of the Ethics Commission shall be
eligible for elected office for two years after completing
his or her term.
G. A majority of the members serving shall
constitute a quorum.
§ 2. Appropriation–Compensation–Staff
Appropriation–Compensation–Staff
A. The Ethics Commission shall receive an annual
appropriation by the Legislature sufficient to enable it
to perform its duties as set forth in this Constitutional
Amendment. Any funds appropriated to the Ethics
Commission, which remain unspent at the end of the
fiscal year shall be returned to the general revenue
fund. The Commission shall present its proposed
budget to the Governor and the Legislature on the
second day of each legislature session.
B. The Commissioners shall receive reimbursement
for travel, lodging, and meals while on official business
as provided for other officers of the State, but they
shall not be otherwise compensated.
C. The Commission may employ an executive
director and other staff, including attorneys, necessary
to fulfill its duties.
§ 3. Ethics Rules
Ethics Rules
A. After public hearing, the Ethics Commission shall
promulgate rules of ethical conduct for campaigns for
elective state office and for campaigns for initiatives
and referenda, including civil penalties for violation of
these rules.
B. After public hearing, the Ethics Commission shall
promulgate rules of ethical conduct for state officers
and employees, including civil penalties for violation of
these rules.
C. Newly promulgated rules shall be presented to
each House of the Legislature and to the Governor on
the second day of each session of the Legislature. If
these rules are not disapproved by joint resolution,
subject to veto by the Governor, during the same
legislative session, they shall be effective. In the event
the Governor vetoes a joint resolution disapproving any
Ethics Commission's rules, the procedure shall be the
same as for the veto of any other bill or joint resolution.
Effective Ethics Commission rules shall be published
in the official statutes of the State.
D. Effective Ethics Commission rules may be
repealed or modified by the Commission, and the
repeal or modification shall be submitted to the
Legislature and the Governor in the same manner as
newly promulgated rules. Effective Ethics Commission
rules may also be repealed or modified by law passed
by a majority vote of each House of the Legislature. If
the Governor vetoes such a law, the procedure shall
Art. 29 § 3 CONSTITUTION OF OKLAHOMA 2
O.S. 2001
be the same as for the veto of any other bill or joint
resolution.
§ 4. Investigation–Decision–Subpoena Power
Investigation–Decision–Subpoena Power
A. The Ethics Commission shall investigate and,
when it deems appropriate, prosecute in the District
Court of the County where the violation occurred
violations of its rules governing ethical conduct of
campaigns, state officers, and state employees.
Where uncertainty exists as to the County in which the
violation occurred, the Commission may prosecute in
any County in which the evidence indicates the
violation might have been committed. The Court may
assess penalties for violation of ethical standards
established by the Commission as provided in the
Commission's rules. The Commission may settle
investigations and accept payment of fines without
Court order. Fines paid shall be deposited in the
general revenue fund of the State.
B. The Commission shall also enforce other ethics
laws as prescribed by law.
C. For purposes of its investigations, the Ethics
Commission shall have subpoena power.
§ 5. Ethics Interpretations
Ethics Interpretations. The Ethics Commission may
respond, pursuant to its rules, to questions of specific
individuals seeking an interpretation of the
Commission's rules governing ethical conduct for
campaigns, state officers, or state employees. Any
such official interpretation of ethics rules shall be
binding on the Commission.
§ 6. Criminal Penalties
Criminal Penalties. This Article shall not prevent
enactment of laws prohibiting certain conduct by
political candidates, government officers, government
employees, or other persons and providing criminal
penalties for such conduct. It also shall not prevent
enactment of laws governing ethical conduct of local
political subdivision officers and employees, nor shall
it prevent enactment of law governing conditions of
state government employment.
§ 7. Removal
Removal. A Commissioner shall only be removed
from office pursuant to the provisions of Article VIII of
this Constitution.
Title 17 Oklahoma Statutes 1996, § 48
§ 48. Transportation, presents, or gratuities to
Corporation Commissioners or employees
prohibited–Exceptions
A. No person who is subject to the regulations of
the Corporation Commission, or has interests in any
firm, corporation or business which is subject to
regulation by the Corporation Commission shall furnish
transportation, presents, or gratuities other than as
provided by the Rules of the Ethics Commission to any
member of the Corporation Commission or any
employee thereof; provided, however, during a period
beginning one hundred twenty (120) days prior to a
primary election, through one hundred twenty (120)
days following the general election, any person may
make contributions not otherwise prohibited by the
Rules of the Ethics Commission to the cost of any
current candidate's political campaign. It shall be
unlawful for any such member or employee to
knowingly accept any such transportation, presents or
gratuities from any such person, firm or association.
B. A violation of the provisions of this section shall,
upon conviction, be punishable as a misdemeanor.
Title 5, Attorneys and State Bar
Code of Judicial Conduct
Canon 5. A judge or judicial candidate should
refrain from inappropriate political
activity
1. A. All Judges 1 and Candidates.
(1) Except as authorized herein a judge or a
candidate for election or appointment to judicial office
should not:
(a) act as a leader of or hold an office in
political organization;
(b) publicly endorse or publicly oppose another
candidate for public office;
(c) make speeches on behalf of a political
organization or candidate or publicly endorse a
candidate for public office; or
(d) solicit funds for, or pay an assessment to
or make a contribution to a political organization or
candidate, or purchase tickets for political party
dinners or other functions.
(2) A judge should resign from judicial office upon
becoming a candidate for a non-judicial office either in
a primary or in a general election, except that the judge
may continue to hold judicial office while being a
candidate for election to or serving as a delegate in a
3 ATTORNEYS AND STATE BAR 5, Ch. 1, App. 4
O.S. 2011 Code of Judicial Conduct Canon 5
state constitutional convention if the judge is otherwise
permitted by law to do so.
(3) A candidate for judicial office:
(a) should maintain the dignity appropriate to
judicial office and act in a manner consistent with
the integrity and independence of the judiciary, and
should encourage members of the candidate’s
family to adhere to the same standards of political
conduct in support of the candidate as apply to the
candidate;
(b) should prohibit employees and officials who
serve at the pleasure of the candidate, and should
discourage other employees and officials subject to
the candidate’s direction and control from doing on
the candidate’s behalf what the candidate is
prohibited from doing under the Sections of this
Canon;
(c) except to the extent permitted by Section
5C(2), should not authorize or knowingly permit any
other person to do for the candidate what the
candidate is prohibited from doing under the
Sections of this Canon;
(d) should not:
(i) with respect to cases, controversies, or
issues that are likely to come before the court,
make pledges, promises or commitments that
are inconsistent with impartial performance of
the adjudicative duties of the office, or
(ii) knowingly misrepresent the identity,
qualifications, present position or other fact
concerning the candidate or opponent;
(e) may respond to personal attacks or attacks
on the candidate’s record as long as the response
does not violate Section 5A(3)(d);
B. Candidates Seeking Appointment to
Judicial or Other Governmental Office.
(1) A candidate for appointment to judicial office
or a judge seeking other governmental office should
not solicit or accept funds, personally or through a
committee or otherwise, to support his or her
candidacy.
(2) A candidate for appointment to judicial office
or a judge seeking other governmental office should
not engage in any political activity to secure the
appointment except that:
(a)2 such persons may:
(i) communicate with the appointing
authority, including any selection or nominating
commission designated to screen candidates, or
members thereof;
(ii) seek support or endorsement for the
appointment from organizations that regularly
make recommendations for reappointment or
appointment to the office, and from individuals to
the extent requested or required by those
specified in Section 5B(2)(a); and
(iii) provide to those specified in Sections
5B(2)(a)(i) and 5B(2)(a)(ii) information
as to his or her qualifications for the
office.
C. Judges and Candidates Subject to Public
Election.
(1) A judge or candidate subject to public election
may, except as prohibited by law:
(a) speak to gatherings on his or her own
behalf;
(b) appear in newspaper, television and other
media advertisements supporting his or her
candidacy;
(c) distribute pamphlets and other promotional
campaign literature supporting his or her candidacy;
and
(d) publicly endorse or publicly oppose other
candidates for the same judicial office in a public
election in which the judge or judicial candidate is
running.
(2) A candidate should not personally solicit
campaign contributions or personally solicit publicly
stated support. A candidate may, however, establish
committees of responsible persons to conduct
campaigns for the candidate through media
advertisements, brochures, mailings, candidate forums
and other means not prohibited by law. Such
committees may solicit and accept reasonable
campaign contributions, manage the expenditure of
funds for the candidate’s campaign and obtain public
statements of support for his or her candidacy. Such
committees are not prohibited from soliciting and
accepting reasonable campaign contributions and
public support from lawyers. A candidate’s committees
may solicit and/or accept contributions and public
support for the candidate’s campaign no earlier than
90 days before an election filing period and no later
than 30 days after the last election in which the
candidate participates during the election year. A
candidate should not use or permit the use of
campaign contributions for the private benefit of the
candidate or others.
5, Ch. 1, App. 4 ATTORNEYS AND STATE BAR 4
Canon 5 Code of Judicial Conduct O.S. 2011
D. Incumbent Judges on Retention Ballot. An
incumbent judge or justice who is a candidate for
retention in or re-election to office without a competing
candidate, and whose candidacy has drawn active
opposition, may campaign in response thereto and
may obtain publicly stated support and campaign funds
in the manner provided herein.
E. Applicability. Canon 5 generally applies to
all incumbent judges and judicial candidates. A
successful candidate, whether or not an incumbent, is
subject to judicial discipline for his or her campaign
conduct; an unsuccessful candidate who is a lawyer is
subject to lawyer discipline for his or her campaign
conduct.
F. On October 5, 1998, and in all judicial
elections thereafter, within ten (10) days after formally
announcing and/or qualifying for election or re-election
to any judicial office in this state (whichever is earlier),
all candidates, including incumbent judges, shall
forward written notice of such candidacy, together with
an appropriate mailing address, to the Administrative
Director of the Courts. Upon receipt of such notice, the
Administrative Director shall cause to be distributed to
all such candidates by Registered Mail, Return Receipt
Requested, copies of the following: Canon 5 of the
Code of Judicial Conduct; summaries of all previous
Formal Advisory Opinions, if any, issued by the Judicial
Ethics Panel which relate in any way to campaign
conduct and practices; and a form acknowledgment
which each candidate shall promptly return to the
Administrative Director of the Courts and therein certify
that he/she has read and understands the material
forwarded and agrees to be bound by such standards
during the course of the campaign. A FAILURE TO
COMPLY W ITH THIS SECT ION SHAL L
CONSTITUTE A PER SE VIOLATION OF CANON 5.
Upon request, the documents executed by a candidate
for judicial election in accordance with this rule shall be
made available to General Counsel of the Oklahoma
Bar Association, the Panel on Judicial Elections, the
Council on Judicial Complaints, and the Oklahoma
Supreme Court.
Effective November 1, 1997. Amended by orders of Oct. 5, 1998;
Jan. 17, 2006, eff. March 6, 2006.
1. So in original.
2. So in original; there is no subparagraph (b).
Title 21 Oklahoma Statutes 2001
187. Definitions
187.1 Limitations on campaign contributions
187.2 Prohibition on corporate contributions to
candidate campaigns–Penalties
334. Contingent fees–Influencing legislation or
official action
360. Coercing political participation of state
employees
463. Offering forged or false instruments for
record
§ 187. Definitions
As used in Sections 1 through 3*of this act:
1. "Accept", with reference to a contribution,
means failure by a candidate, treasurer, deputy
treasurer or agent of a committee to expressly and
unconditionally reject and return a tendered
contribution to the contributor within six (6) business
days from receipt of the tender;
2. "Ballot measure" means an initiative,
referendum, legislative referendum, legislative
initiative, state question, or any proposition or measure
submitted to voters for their approval or rejection at a
statewide election;
3. "Campaign" means and includes all activities for
or against the election of a candidate to a specific state
office or local office for a specific term or the passage
or defeat of a ballot measure from the date of
acceptance of the first contribution, the making of the
first expenditure, or the filing of a declaration of
candidacy, whichever is first, until a final campaign
contributions and expenditures report is filed;
4. "Candidate" means a person who seeks
nomination or election to state or local office. An
individual is a candidate when the individual:
a. has filed a declaration of candidacy for any
state office with the Secretary of the State
Election Board;
b. has filed a declaration of candidacy for any
local office with the secretary of any county
election board,
c. has filed a declaration of candidacy with the
Secretary of State and has drawn active
opposition,
d. is nominated as a "substitute candidate"
pursuant to Section 1-105 of Title 26 of the
Oklahoma Statutes; or
e. solicits or accepts contributions, makes
expenditures or gives consent to an
individual, organization, party committee, or
other committee to solicit or accept
contributions or make expenditures to secure
election to any state office at any time,
whether or not the office for which the
individual will seek nomination or election is
known when the:
(1) solicitation is made,
(2) contribution is accepted, or
5 CRIMES AND PUNISHMENTS 21 § 187
O.S. 2011
(3) expenditure is made.
The term "candidate" shall include a person whose
candidacy is unopposed;
5. "Candidate committee" means the committee,
consisting of one or more persons who may be the
candidate only, designated by a candidate to promote
the candidate's candidacy and serve as the recipient of
all contributions and the disburser of all expenditures
for the candidate.
6. "Committee" means a candidate committee,
political action committee, or party committee;
7. a. "Contribution" means and includes:
(1) a gift, subscription, loan, guarantee or
forgiveness of a loan, conveyance,
advance, payment, distribution, or
deposit of money or anything of value
made to and with the knowledge and for
the benefit of a committee for use in a
campaign, or for reducing the debt of a
committee,
(2) an expenditure made by a person or
committee, other than a candidate
committee, with the cooperation of, or in
consultation with, a committee, a
candidate, candidate committee, or
candidate's agent or that is made in
concert with, or at the request or
suggestion of, a candidate, candidate
committee, or candidate's agent,
(3) the difference between the payment to
a person, other than a candidate or
committee, of compensation for
personal services or products to the
candidate or committee, and the
reasonable and customary rate charged
by the person for like services or
products in like quantities when the
candidate or committee has knowledge
of the discounted services or products,
(4) anything of value received by a
committee that is transferred from
another committee or other source,
(5) sums paid for tickets for a political event
such as a reception, rally, or a similar
fundraising event; however, the amount
of any such contribution may
be reduced for the purpose of
complying with the reporting and
contribution limitations requirements of
Section 2 of this act, * by the actual cost
of consumables furnished by the
committee in connection with the
purchase of the tickets, and only the
excess over the actual cost of the
consumables shall be deemed a
contribution,
(6) the candidate's own money used on
behalf of that candidate's candidacy;
and
(7) the difference between the open market
value and a discount or rebate:
(a) not extended to the public
generally, or
(b) by a television or radio station not
extended equally to all candidates
for the same office.
b. The term "contribution" shall not include:
(1) the value of services provided without
compensation by any individual who
volunteers on behalf of a candidate or
committee,
(2) for purposes of the contribution limits
set forth in Section 2* of this act, the
transfer of any funds by a political
action committee to another political
action committee, provided the
committees have been established as
provided by law and the transferring
committee and the receiving committee
have been established, directly or
indirectly, and are administered or
financially supported, directly or
indirectly, by a common entity,
(3) any payment or obligation incurred by a
corporation, labor organization,
membership organization, cooperative
or corporation without capital stock for
the establishment, administration, and
solicitation of contributions to a
separate segregated fund or political
action committee to be utilized for
political purposes,
(4) a nonreimbursed payment made by an
individual for the individual's own travel
expenses on behalf of a committee,
(5) a payment made by an occupant of a
residence or office for costs related
to a meeting or fundraising event held in
the occupant's residence or office if
the costs for the meeting or fundraising
event do not exceed Five Hundred
Dollars ($500.00). However, if the
occupant hosts more than one event in
an election cycle for the same
beneficiary, all subsequent payments
that exceed Five Hundred Dollars
21 § 187 CRIMES AND PUNISHMENTS 6
O.S. 2011
($500.00) in the aggregate are
contributions,
(6) a loan of money made in the ordinary
course of business by a financial
institution authorized to transact
business in this state at terms and
interest rates generally available to a
member of the public without regard to
that person's status as a state or local
officer or state or local employee or a
candidate for state or local office by the
institution,
(7) a communication by a corporation, labor
organization, or association aimed at its
members, owners, stockholders,
directors, executive administrative
personnel, or their families, or
(8) a tender of a contribution if the tender is
not accepted, including use as
collateral, or is transferred to the state
as provided in Rule 10-1-2 of the Rules
of the Ethics Commission, 74 O.S.
Supp. 1994, Chapter 62, App.;
8. "Expenditure" means a purchase, payment,
dis tribution, loan, advance, compensation,
reimbursement, fee deposit, transfer of funds between
committees, or a gift made by a committee. An
expenditure does not include the following:
a. a loan of money, made in the ordinary course of
business, by a financial institution authorized to
transact business in this state,
b. a communication by a corporation, labor
organization, or association aimed at its
members, owners, stockholders, executive
administrative personnel, or their families, except
a communication by the corporation's political
action committee promoting or opposing a
candidate or candidates,
c. uncompensated services provided by an
individual volunteering the individual's time, or
d. a transfer of funds to another committee if such
transfer is not accepted;
9. "Family" means an individual, his or her spouse,
if any, and all children under the age of eighteen (18)
years residing in the same household;
10. "Local office" means all elective offices for
which a declaration of candidacy is filed with the
secretary of any county election board;
11. "Party committee" means a political party or
any affiliated or connected entity;
12. "Person" means an individual, corporation,
association, proprietorship, firm, partnership, limited
partnership, joint venture, joint stock company,
syndicate, business trust, estate, trust, company,
organization, committee, or club, or a group of persons
who are voluntarily acting in concert;
13. "Political action committee":
a. means a combination of at least two
individuals, or a person other than an
individual:
(1) with the primary purpose of:
(a) supporting or opposing a
candidate or candidates, or a
party committee, except those
required to file with the Federal
Election Commission, or
(b) supporting or opposing a ballot
measure, and
(2) which accepts or gives contributions or
makes expenditures from a joint
account aggregating at least Five
Hundred Dollars ($500) during a
calendar year, and
b. does not include:
(1) a party committee or a candidate
committee,
(2) a person other than an individual, when
that person makes an expenditure or
expenditures from an account to which
contributions have not been solicited or
accepted from any other persons or
individuals; and the expenditure or
expenditures are required by law or by
Chapter 10 of the Rules of the Ethics
Commission to be reported by the
recipient committee or committees as a
contribution or contributions, and
(3) a combination of individuals, or a
person other than an individual, if the
combination of individuals, or a person
other than an individual, solicits
contributions on behalf of a committee,
and any contributions received as a
result of the solicitation are forwarded to
the committee without being deposited
in any account; and, the contributions
are required by law or by Chapter 10 of
the Rules of the Ethics Commission to
be reported by the committee that
receives the contributions;
14. "Political party" means any political party so
recognized for the purpose of having candidates
appear on the ballot; and
7 CRIMES AND PUNISHMENTS 21 § 187.2
O.S. 2001
15. "State office" means all elective offices for
which declarations of candidacy are filed with the
Secretary of the State Election Board.
*Section 187, 187.1 and 187.2 of Title 21 of the Oklahoma
Statutes.
§ 187.1. L i m i t a t i o n s o n c a m p a i g n
contributions
A. No person or family may contribute more than:
1. Five Thousand Dollars ($5,000.00) in any
calendar year to a committee other than a candidate
committee;
2. Five Thousand Dollars ($5,000.00) to a
candidate for state office, to a candidate for municipal
office in a municipality with a population of over two
hundred fifty thousand (250,000) persons, according to
the most recent Federal Decennial Census, to a
candidate for county office in a county with a
population of over two hundred fifty thousand
(250,000) persons, according to the most recent
Federal Decennial Census, or to a candidate
committee authorized by such a candidate to receive
contributions or make expenditures on his or her
behalf, for any campaign; or
3. One Thousand Dollars ($1,000.00) to a
candidate for other local office, or to a candidate
committee authorized by such a candidate to receive
contributions or make expenditures on his or her
behalf, for any campaign.
B. No candidate, candidate committee, or other
committee shall knowingly accept contributions in
excess of the amounts provided herein.
C. These restrictions shall not apply to a committee
supporting or opposing a ballot measure or local
question or to a candidate making a contribution of his
or her own funds to his or her own campaign.
D. It shall be prohibited for a campaign contribution
to be made to a particular candidate or committee
through an intermediary or conduit for the purpose of:
1. Evading requirements of effective Rules of the
Ethics Commission promulgated pursuant to Article
XXIX of the Oklahoma Constitution or laws relating to
the reporting of contributions and expenditures; or
2. Exceeding the contribution limitations imposed by
subsection A of this section.
Any person making a contribution in violation of this
subsection or serving as an intermediary or conduit for
such a contribution, upon conviction, shall be subject
to the penalties prescribed in subsections E and F of
this section.
E. Any person who knowingly and willfully violates
any provision of this section where the aggregate
amount contributed exceeds the contribution limitation
specified in subsection A of this section by Five
Thousand Dollars ($5,000.00) or more, upon
conviction, shall be guilty of a felony punishable by a
fine of up to four times the amount exceeding the
contribution limitation or by imprisonment in the State
Penitentiary for up to one (1) year, or by both such fine
and imprisonment.
F. Any person who knowingly and willfully violates
any provision of this section where the aggregate
amount contributed is less than Five Thousand Dollars
($5,000.00) in excess of the contribution limitation
specified in subsection A of this section, upon
conviction, shall be guilty of a misdemeanor punishable
by a fine of not more than three times the amount
exceeding the contribution limitation or One Thousand
Dollars ($1,000.00), whichever is greater, or by
imprisonment in the county jail for up to one (1) year,
or by both such fine and imprisonment.
G. No lobbyist or lobbyist principal as defined in
Section 4249 of Title 74 of the Oklahoma Statutes shall
make or promise to make a contribution to, or solicit or
promise to solicit a contribution for a member of the
Oklahoma Legislature or a candidate for a state
legislative office during any regular legislative session,
beginning the first Monday in February, through its
adjournment, and for five (5) calendar days following
sine die adjournment. A member of the Oklahoma
Legislature or a candidate for a state legislative office
shall not intentionally solicit or accept a contribution
from a lobbyist or lobbyist principal as defined in
Section 4249 of Title 74 of the Oklahoma Statutes
during any regular legislative session and for five (5)
calendar days after sine die adjournment. For the
purposes of this subsection, a candidate shall mean
any person who has filed a statement of organization
for a state legislative office pursuant to Oklahoma
Statutes, Title 74, Chapter 62 Appendix, Rule 257:10-
1-8.
H. Any person who knowingly and willfully violates
any provision of subsection G of this section, upon
conviction, shall be guilty of a misdemeanor punishable
by a fine of not more than One Thousand Dollars
($1,000.00), or by imprisonment in the county jail for up
to one (1) year, or by both such fine and imprisonment.
Amended Laws 2008 [Subsections G and H effective November
1, 2008].
§ 187.2. P r o h i b i t i o n o n c o r p o r a t e
contributions to candidate campaigns–Penalties
A. No corporation shall contribute to any campaign
fund of any party committee of this state or to any other
person for the benefit of such party committee or its
candidates, nor shall it, through any agent, officer,
representative, employee, attorney, or any other
person or persons, so contribute. Nor shall any such
corporation, directly or through such other person,
21 § 187.2 CRIMES AND PUNISHMENTS 8
O.S. 2001
make any loan of money or anything of value, or give
or furnish any privilege, favor or other thing of value to
any party committee, or to any representative of a party
committee, or to any other person for it, or to any
candidate upon the ticket of any political party.
B. A corporation shall not make a contribution or
expenditure to, or for the benefit of, a candidate or
committee in connection with an election, except that
this provision shall not apply to:
(1) A campaign or committee solely for or against
a ballot measure or local question; or
(2) The establishment, administration, and
solicitation of contributions to a political action
committee to be utilized for political purposes
by a corporation.
C. No candidate, candidate committee, or other
committee shall knowingly accept contributions given
in violation of the provisions of subsection A or B of
this section.
D. The provisions of this section shall not apply to a
bank, savings and loan association or credit union
loaning money to a candidate in connection with his or
her own campaign which is to be repaid with interest at
a rate comparable to that of loans for equivalent
amounts for other purposes.
E. Any person who knowingly and willfully violates
any provision of this section where the aggregate
amount contributed exceeds Five Thousand Dollars
($5,000.00), upon conviction, shall be guilty of a felony
punishable by a fine of up to four times the amount of
the prohibited contribution or by imprisonment in the
State Penitentiary for up to one (1) year, or by both
such fine and imprisonment.
F. Any person who knowingly and willfully violates
any provision of this section where the aggregate
amount contributed is Five Thousand Dollars
($5,000.00) or less, upon conviction, shall be guilty of
a misdemeanor punishable by a fine of not more than
three times the amount of the prohibited contribution or
One Thousand Dollars ($1,000.00), whichever is
greater, or by imprisonment in the county jail for up to
one (1) year, or by both such fine and imprisonment.
§ 334. Contingent fees–Influencing legislation
or official action
No person may retain or employ a lobbyist, as
defined in Section 6* of this act, for compensation
contingent in whole or in part on the passage or defeat
of any official action or the approval or veto of any
legislation, issuance of an executive order or approval
or denial of a pardon or parole by the Governor. No
lobbyist may accept any employment or render any
service for compensation contingent on the passage or
defeat of any legislation or the approval or veto of any
legislation by the Governor. Any person convicted of
violating the provisions of this section shall be guilty of
a felony punishable by a fine of not more than One
Thousand Dollars ($1,000.00) or by imprisonment in
the state penitentiary not exceeding two (2) years or by
both such fine and imprisonment.
*Section 4249 of Title 74 of the Oklahoma Statutes.
§ 360. Coercing political participation of state
employees
No public employee or public officer, as defined in
Section 304 of Title 51 of the Oklahoma Statutes, shall
directly or indirectly coerce, attempt to coerce,
command, advise or direct any state employee to pay,
lend or contribute any part of his or her salary or
compensation, time, effort or anything else of value to
any party, committee, organization, agency or person
for political purposes. No public employee or official
shall retaliate against any employee for exercising his
or her rights or for not participating in permitted political
activities as provided in Ethics Commission Rule 10-1-
4. Any person convicted of willfully 1 violating the
provisions of this section shall be guilty of a felony and
shall be punished by the imposition of a fine of not
more than Ten Thousand Dollars ($10,000.00) or by
imprisonment for not longer than two (2) years, or by
both said fine and imprisonment.
1Title 74, Ch. 62, App. 1, 257:10-1-4.
§ 463. Offering forged or false instruments for
record
Any person who knowingly procures or offers any
false or forged instrument to be filed, registered, or
recorded in any public office within this state, which
instrument, if genuine, might be filed or registered or
recorded under any law of this state or of the United
States, shall be guilty of a felony.
Title 68 Oklahoma Statutes 2001, § 2358.3
§ 2358.3. Income tax deduction for contribu-tions
A person who contributes money to a political party
or to a candidate or candidate committee shall be
entitled to deduct the amount contributed, not to
exceed One Hundred Dollars ($100.00) in any one tax
year, from the person's adjusted gross income in the
computation of Oklahoma income tax.
CHAPTER 62. – ETHICS COMMISSION ACT
Sections 4200 through 4219 and 4221 through
4248.1 have been repealed. Section 4220 has been
recodified at Section 1840 of Title 21 of the
Oklahoma Statutes.
9 STATE GOVERNMENT 74 § 4249
O.S. 2001
The following provisions became law per House Bill
1608, emergency effective July 1, 1995
4249. Definitions
4250. Lobbyists registrations–Termination
4251. Influencing legislation or official
action– Fraud
4252. Appearance on floor of Legislature
4253. Use of registration forms and activities
reports
4254. State officers or state employees–
Additional Compensation for lobbying
4255. Violations–Penalties–Third and subse-quent
violations
4256. Late fee assessments
4257. Employment of former members of
board or commission–Violations–
Penalties
4258. Revolving fund
4259. Committee registration
4260. Local candidates–Electronic reports
§ 4249. Definitions
As used in Sections 6 through 12* of this act:
1. "Lobbying", or any derivative of the word,
means any oral or written communication with a
member of the Legislature, with the Governor, with a
member of the Corporation Commission, with a
member of the judiciary or with an employee of the
Legislature, the Governor, the Corporation
Commission or the judiciary on behalf of a lobbyist
principal with regard to the passage, defeat,
formulation, modification, interpretation, amendment,
adoption, approval or veto of any legislation, rule,
regulation, executive order or any other program,
policy or position of the state government; provided,
however, it shall not mean testimony given before, or
submitted in writing to, a committee or subcommittee
of the Legislature, nor a speech, article, publication or
other material that is widely distributed, published in
newspapers, magazines or similar publications or
broadcast on radio or television; provided further, it
shall not mean representation of himself or herself or
a client by an attorney acting in a professional capacity
as an attorney who has entered an appearance in a
court proceeding or quasi-judicial proceeding or a
legislative or quasi-judicial proceeding before the
Corporation Commission;
2. "Lobbyist" means any individual who is
employed or retained by another for financial or other
compensation to perform services that include
lobbying, other than an individual whose lobbying
activities are only incidental to, and are not a significant
part of, the services provided by such individual to the
client, except the following individuals shall not be
considered lobbyists:
a. an individual appearing before a meeting of a
legislative body or executive agency who
receives no compensation for his or her
appearance other than reimbursement from the
state for expenses and who engages in no
further or other lobbying,
b. a public or federal official acting in his or her
official capacity,
c. a public employee acting on behalf of the
governmental entity by which he or she is
employed, and
d. any person exercising his or her constitutional
right to petition the government who is not
specifically required by the provisions of Sections
6 through 11* of this act to register as a lobbyist
and who receives no compensation or anything
of value for lobbying;
3. "Lobbyist principal" means any person who
employs or retains another person for financial or other
compensation to conduct lobbying activities on behalf
of the lobbyist principal; provided, however, it shall not
mean any individual members, partners, officers or
shareholders of a corporation, association, firm, joint
venture, joint stock company, syndicate, business
trust, estate, trust, company, partnership, limited
partnership, organization, committee, or club, or a
group of persons who are voluntarily acting in concert;
4. "Public member" means a member appointed
to a compensated or uncompensated part-time
position on a board, commission, council, authority,
bureau, committee, state beneficial public trust, or
other establishment of the executive, legislative or
judicial branch of the State of Oklahoma. A public
member shall not lose his status by receiving
reimbursement of expenses or a per diem payment for
services. A public member shall not include:
a. members of advisory bodies to the legislative,
executive, or judicial branch of state government,
b. Postadjudication Review Board members
appointed pursuant to Section 1116.2 of Title 10
of the Oklahoma Statutes,
c. board members of guaranty associations created
pursuant to state statute, and
d. precinct inspectors, judges, clerks and counters;
5. "State employee" means:
a. an elective or appointed officer or an employee
of any state governmental entity, except
members of the House of Representatives or
State Senate; and
74 § 4249 STATE GOVERNMENT 10
O.S. 2001 & O.S. 2011
b. an employee, other than an adjunct professor, in
the service of an institution of higher education
comprising The Oklahoma State System of
Higher Education.
The term "state employee" shall not include a public
member; and
6. "State officer" means an elective, appointed or
employed officer, including a public member, in the
executive, judicial or legislative branch of the State of
Oklahoma.
*Sections 4249 through 4255 of Title 74 of the Oklahoma
Statutes.
**Sections 4249 through 4254 of Title 74 of the Oklahoma
Statutes.
§ 4250. Lobbyist registration–Termination
A. Every lobbyist shall be required to register with
the Ethics Commission no later than December 31 of
each year or within five (5) days after engaging in
lobbying on behalf of one or more lobbyist principals,
and pay a registration fee of One Hundred Dollars
($100.00). All monies collected from this registration
fee shall be deposited with the State Treasurer to the
credit of the Ethics Commission Fund.
B. Information contained on the lobbyist registration
form shall be limited to the following:
1. The lobbyist's name and business address and
telephone number;
2. The name and address of each lobbyist principal
by whom the lobbyist is employed or retained; and
3. The date of the registration.
All registrations filed under this section shall be
certified.
C. The registration of each lobbyist shall expire on
December 31 of each year unless the annual
registration fee as set forth in subsection A of this
section is paid. The registration fee shall be payable
from December 1 through 31 of each year. A lobbyist
expenditure report shall be due at this time if such
report was not filed for the previous reporting period.
If the lobbyist was previously unregistered, then the fee
is due within five (5) days after engaging in lobbying.
The provisions of this section must be complied with
before the Ethics Commission can renew a lobbying
registration.
D. Every lobbyist shall file a supplemental
registration indicating any change in the information
contained in the registration within twenty (20) days
after the date of the change. A person who ceases to
engage in lobbying shall file a written, verified
statement with the Ethics Commission acknowledging
the termination of activities. The notice shall be
effective immediately upon filing.
E. All registrations filed under this section shall be
public records and shall be made available for public
inspection pursuant to the Open Records Act.
F. The Ethics Commission shall maintain
registrations in a separate, alphabetical file and make
such registrations available to the public for inspection.
G. A person who files a notice of termination
pursuant to the provisions of subsection D of this
section shall file the reports required pursuant to the
Rules of the Ethics Commission for any reporting
period during which the person was registered at the
time the notice of termination is effective.
Amended Laws 2004 [Effective November 1, 2004].
§ 4251. Influencing legislation or official action–
Fraud
No person required to be registered under Section
6* of this act may:
1. Knowingly or willfully make any false statement
or representation of the facts to a member of the
legislative branch, judicial branch or executive branch;
or
2. Knowing a document to contain a false
statement, cause a copy of the document to be
received by a member of the legislative branch, judicial
branch or executive branch without notifying such
member in writing of the truth.
*Section 4249 of Title 74 of the Oklahoma Statutes.
§ 4252. Appearance on floor of Legislature
No lobbyist may go on the floor of either house of
the Legislature while that house is in session, except
on invitation of that house.
§ 4253. Use of registration forms and activities
reports
No information copied from registration forms
required by Section 7* of this act or from lists compiled
from such forms and reports shall be sold or utilized by
any person for the purpose of soliciting campaign
contributions or selling tickets to a testimonial or similar
fund-raising affair or for any commercial purpose.
*Section 4250 of Title 74 of the Oklahoma Statutes.
§ 4254. State officers or state employees–
Additional compensation for lobbying
No state officer or state employee shall receive any
additional compensation or reimbursement from any
person for personally engaging in lobbying, other than
compensation or reimbursements provided by law for
that member's job position.
11 STATE GOVERNMENT 74 § 4257
O.S. 2001 & O.S. 2011
§ 4255. Violations–Penalties–Third and subse-quent
violations
A. Any person who knowingly and willfully violates
any provision of Sections 5 through 11* of this act or
Chapter 23 of the Rules of the Ethics Commission
commits a misdemeanor. Nothing in Sections 5
through 11** of this act relieves a person of criminal
responsibility under the laws of this state relating to
perjury.
B. Any person who knowingly and willfully violates
any provision of Sections 5 through 11*** of this act or
any provision of Chapter 23 of the Rules of the Ethics
Commission a third and subsequent time, in addition
to any other penalties provided herein, shall be
prohibited from further lobbying as defined herein for a
period of five (5) years. If any person having been so
prohibited, lobbies while prohibited, such person shall
be permanently prohibited from lobbying and shall be
guilty of a felony.
*Section 360 of Title 21 and Sections 4249 through 4254 of Title
74 of the Oklahoma Statutes.
**Section 360 of Title 21 and Sections 4249 through 4254 of Title
74 of the Oklahoma Statutes.
***Section 360 of Title 21 and Sections 4249 through 4254 of
Title 74 of the Oklahoma Statutes.
§ 4256. Late fee assessments
A. Every candidate or candidate committee for state
or county office and every other committee failing to
file registrations and reports of contributions and
expenditures or statements of inactivity on or before
the days specified in Chapter 10 of the Rules of the
Ethics Commission shall be assessed by the Ethics
Commission a late filing fee of up to One Hundred
Dollars ($100.00) for each day after a report of
contributions and expenditures is due that said report
remains unfiled; provided, the total amount of such
fees assessed per report shall not exceed One
Thousand Dollars ($1,000.00).
B. Committees campaigning for or against an
initiative or referendum petition, legislative referendum,
or a state question who fail to file reports of
contributions and expenditures on or before the days
specified in Chapter 10 of the Rules of the Ethics
Commission shall be assessed by the Ethics
Commission a late filing fee of up to One Thousand
Dollars ($1,000.00) for each day after a report of
contributions and expenditures is due that said report
remains unfiled; provided, the total amount of such fee
assessed per report filing shall not exceed Ten
Thousand Dollars ($10,000.00).
C. Every person failing to file a statement of
financial interests or financial disclosure statement on
or before the days specified in Chapter 15 of the Rules
of the Ethics Commission shall be assessed by the
Ethics Commission a late filing fee of up to One
Hundred Dollars ($100.00) for each day the statement
remains unfiled; provided, the total amount of such
fees assessed per statement shall not exceed One
Thousand Dollars ($1,000.00).
D. The treasurer, except for treasurers for
candidates or candidate committees, may be liable for
the late fee. Failure to file a registration, report or
statement shall be deemed to be a separate offense
for each day that the registration, report or statement
remains unfiled after it becomes due. The first
Twenty-five Thousand Dollars ($25,000.00) per
calendar year derived from fees collected pursuant to
the provisions of this section shall be deposited with
the State Treasurer to the credit of the Ethics
Commission Fund and any amount in excess of
Twenty-five Thousand Dollars ($25,000.00) per
calendar year shall be deposited in the General
Revenue Fund. Candidates or candidate committees
shall not pay such fees from campaign funds.
Amended Laws 2004 [Effective November 1, 2004]. Amended
Laws 2010, House Bill 2408, § 2, emerg. eff. July 1, 2010.
§ 4257. Employment of former members of
board or commission–Violations–Penalties
A. Except as otherwise provided for by this section,
no state board or commission shall employ any former
member of the board or commission.
B. A state board or commission may employ a
former member of the board or commission if at least
one (1) year has passed since the term of office of the
former member has expired or since the date the
former member resigned from the board or
commission.
C. Notwithstanding subsection B of this section, a
state board or commission may employ:
1. A state employee who is an ex officio member of
that board or commission and who is required by law
to be a member of that board or commission; or
2. A former statewide elected official who was an ex
officio member of that board or commission if the
former statewide elected official completed the term in
office. This subsection shall not apply to a statewide
elected official who is an ex officio member of a board
or commission.
D. Any person who willfully violates any provision of
this section shall be guilty of a misdemeanor and upon
conviction thereof shall be punished by a fine of not
less than Fifty Dollars ($50.00) nor more than One
Thousand Dollars ($1,000.00), or by imprisonment for
not longer than six (6) months or by both such fine and
imprisonment, and upon conviction shall be ineligible
for appointment to or employment in a position in state
service and, if at the time of conviction is an employee
of the state, the employee shall forfeit the position.
74 § 4258 STATE GOVERNMENT 12
O.S. 2011
Amended Laws 2004 [Effective June 8, 2004].
§ 4258. Revolving fund
There is hereby created in the State Treasury a
revolving fund for the Ethics Commission to be
designated the "Ethics Commission Fund". The fund
shall be a continuing fund, not subject to fiscal year
limitations and shall consist of all copying fees, lobbyist
registration fees, and committee registration fees
received by the Commission. All monies accruing to
the credit of the fund are hereby appropriated and may
be budgeted and expended by the Commission for any
expenses incurred in the implementation of this act.1
Expenditures from the fund shall be made upon
warrants issued by the State Treasurer against claims
filed as prescribed by law with the Director of State
Finance for approval and payment.
Amended Laws 2004 [Effective June 8, 2004].
§ 4259. Committee registration
A. As used in this section, “committee” means a
political action committee or a party committee as
defined in the rules of the Ethics Commission.
Committee shall not include a candidate committee as
defined in the rules of the Ethics Commission.
B. Any committee which accepts contributions or
makes expenditures in excess of Five Hundred Dollars
($500.00) in the aggregate in this state in a calendar
year shall file a statement of organization with the
Ethics Commission no later than five (5) days after
accepting such contributions or making such
expenditures. Each statement of organization shall be
accompanied by a registration fee in the amount of
Fifty Dollars ($50.00).
C. A new statement of organization shall be filed by
a committee each year the committee continues its
registration. Such statements shall be filed between
January 1 and January 31 of each year and shall be
accompanied by the registration fee as set forth in
subsection B of this section. The registration fee shall
be received no later than January 31 of each year.
D. Any campaign contribution and expenditure
reports required to be filed by the rules of the Ethics
Commission and which may not have been filed for the
previous calendar year shall be filed by the committee
at the same time the registration fee is paid. The
Commission may not renew a registration until the
committee is in compliance with the provisions of this
section. A previously registered committee shall not
accept contributions or make expenditures until such
committee is in compliance with the provisions of this
section.
Amended Laws 2004 [Effective November 1, 2004].
§ 4260. Local candidates–Electronic reports
All candidates allowed to receive the maximum
contribution of Five Thousand Dollars ($5,000.00),
pursuant to paragraph 2 of subsection A of Section
187.1 of Title 21 of the Oklahoma Statutes, shall file a
campaign contributions and expenditures report
electronically with the Ethics Commission. The Ethics
Commission shall make the report available online.
The Ethics Commission shall consult with the Office of
State Finance regarding an information technology
services contract to comply with this section.
Added Laws 2011 [Effective November 1, 2011].
13 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2
CHAPTER 62. – APPENDIX
TITLE 257. ETHICS COMMISSION
Chapter Section
1. Administrative Operations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:1-1-1
10. Campaign Reporting.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:10-1-1
15. Personal Financial Disclosure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:15-1-1
20. Ethics and Conflicts of Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:20-1-1
23. Lobbying Disclosure.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:23-1-1
25. RESERVED
30. Investigations, Complaints, Settlements and Litigation. . . . . . . . . . . . . . . . 257:30-1-1
CHAPTER 1.
ADMINISTRATIVE OPERATIONS
Section
257:1-1-1. General purpose and authority
257:1-1-2. Definitions
257:1-1-3. Office and hours–Filing requirements
257:1-1-4. Prohibited acts
257:1-1-5. Conflicts of interest
257:1-1-6. Powers and responsibilities of
Commission
257:1-1-7. Forms and publications
257:1-1-8. Availability of documents
257:1-1-9. Request for ethics interpretation
257:1-1-10. Request for rule adoption,
amendment or repeal
257:1-1-11. Miscellaneous civil penalty provisions
257:1-1-12. Disclosure of confidential information
257:1-1-13. Effective date of this chapter
257:1-1-14. Applicability of rules
257:1-1-1. General purpose and authority
(a) Intent. The Ethics Commission was instituted as
the statutory administrator of the Ethics Commission
Act, Section 4200 et seq. of Title 74 of the Oklahoma
Statutes. It retains these powers and others, as
enumerated herein. As a statement of its general
purpose and authority, the Ethics Commission finds:
(1) That the Commission is to promulgate rules of
ethical conduct for campaigns for elective state
office and for campaigns for initiative and
referendum and rules of ethical conduct for state
officers and state employees;
(2) That the central function of this title is to
prevent, rather than punish, unethical conduct. The
Commission shall publish and make available to the
public and to persons subject to this title
explanatory information concerning this title, the
duties imposed by it and the means of enforcing it.
It shall also be the goal of the Commission to initiate
and continue programs for the purpose of educating
officers, employees, and citizens of this state on
matters of ethics and government service.
(b) Administration of title. The Ethics
Commission, created in Section 1 of Article XXIX of
the Oklahoma Constitution, shall administer this title
with respect to campaigns for elective state office, for
campaigns for initiatives and referenda and for state
officers and state employees elected, appointed, or
employed to serve in state government.
(c) Powers and duties. The powers and duties of
the Ethics Commission are set forth in Section 3 of
Article XXIX of the Oklahoma Constitution and the
Ethics Commission Act, Section 4200 et seq. of Title
74 of the Oklahoma Statutes.
(d) Rules. In keeping with its authority and purpose,
the Ethics Commission has promulgated rules to
implement Section 3 of Article XXIX of the Oklahoma
Constitution.
Amended Laws 2009.
257:1-1-2. Definitions
Masculine words, whenever used in this title, shall
include the feminine and neuter, and the singular
includes the plural, unless otherwise specified. In
addition, the following words or terms, when used in
this title, shall have the following meaning, unless the
context clearly indicates otherwise:
"Accept", with reference to a contribution, means
failure by a candidate, treasurer, deputy treasurer or
agent of a committee to expressly and unconditionally
reject and return a tendered contribution to the
contributor within six (6) business days from receipt of
the tender.
"Act" means the Ethics Commission Act, Section
4200 et seq. of Title 74 of the Oklahoma Statutes.
"Address" means mailing address unless
otherwise specified in this title.
"Affiliated" or "Connected entity" means any
entity which directly or indirectly establishes,
administers or financially supports a political entity.
74, Ch. 62, App. STATE GOVERNMENT 14
257:1-1-2 ETHICS COMMISSION RULES O.S. 2011
"Anything of value", "Thing of value" or "Things
of value"
(1) These terms, to the extent that consideration
of equal or greater value is not received, include the
following:
(A) a pecuniary item, including money, or a
bank bill or note;
(B) a promissory note, bill of exchange, order,
draft, warrant, check, or bond given for the
payment of money;
(C) a contract, agreement, promise, or other
obligation for an advance, conveyance,
forgivenes s of indebtedness, deposit,
distribution, loan, payment, gift, pledge, or
transfer of money;
(D) a stock, bond, note, or other investment
interest in an entity;
(E) a receipt given for the payment of money
or other property;
(F) a right in action;
(G) a gift, tangible good, chattel, or an interest
in a gift, tangible good, or chattel, except as
provided in subparagraphs (C), (D) and (N) of
Paragraph (2) of this definition;
(H) a loan or forgiveness of indebtedness,
except as otherwise provided in subparagraph (I)
of Paragraph (2) of this definition;
(I) a work of art, antique, or collectible;
(J) an automobile or other means of personal
transportation;
(K) real property or an interest in real property,
including title to realty, a fee simple or partial
interest, present or future, contingent or vested
in realty, a leasehold interest, or other beneficial
interest in realty;
(L) an honorarium or compensation for
services, except as otherwise provided in
subparagraph (M) of Paragraph (2) of this
definition;
(M) a rebate or discount in the price of anything
of value or the sale or trade of something for
reasonable compensation that would ordinarily
not be available to a member of the public,
except as provided in subparagraph (J) of
Paragraph (2) of this definition;
(N) a promise or offer of employment;
(O) transportation, lodging or entertainment; or
(P) any other thing of value not excluded by
Paragraph (2) of this definition.
(2) These terms do not include:
(A) a campaign contribution properly received
and reported;
(B) any books, written materials, audio tapes,
videotapes, or other informational promotional
material related to the performance of a state
officer's or state employee's official duties;
(C) a gift that:
(i) is not used, and
(ii) no later than thirty (30) days after
receipt, is returned to the donor or delivered
to a charitable organization and is not claimed
as a charitable contribution for federal income
tax purposes;
(D) a gift, devise, or inheritance from an
individual's spouse, child, step-child, parent,
step-parent, grandparent, step-grandparent,
sibling, step-sibling, parent-in-law, sibling-in-law,
nephew, niece, aunt, uncle, or first cousin or the
spouse of that individual, if the donor is not
acting as the agent or intermediary for someone
other than a person covered by this
subparagraph;
(E) a plaque or trophy with a value that does
not exceed two hundred dollars ($200);
(F) modest items of food and refreshments,
such as soft drinks, coffee, and donuts, offered
other than as part of a meal;
(G) food and beverage consumed on the
occasion when participating in a charitable, civic,
or community event, or at any event to which all
members of the Legislature are invited, which
bears a relationship to the state officer's or state
employee's office and the officer or employee is
attending in an official capacity;
(H) greeting cards and items with little intrinsic
value, such as certificates, which are intended
solely for presentation;
(I) loans from banks and other financial
institutions on terms generally available to the
public;
(J) opportunities and benefits, including
favorable rates and commercial discounts,
available to the public or to a class consisting of
all state government employees, whether or not
restricted on the basis of geographic
consideration;
(K) rewards and prizes given to competitors in
contests or events, including random drawings,
which are open to the public; rewards and prizes
from contests or events which are not open to
the public are also excepted if the state officer's
or state employee's entry into the contest is
required as part of his official duties;
(L) pension and other benefits resulting from
participation in a retirement plan offered by an
employer or former employer of a state officer or
state employee;
(M) anything which is paid for by the state
government or secured by the state government
under state government contract;
(N) any gift accepted on behalf of the state of
Oklahoma or a governmental entity by the
Governor under Section 381 et seq. of Title 60 of
the Oklahoma Statutes. In order to be deemed
accepted, the Governor must be notified in
writing of any gift received by a governmental
15 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2
entity, or person on behalf of a governmental
entity, within ten (10) days of receipt of the gift.
Notice of acceptance must be received from the
Governor within the next thirty (30) days. Upon
lack of a response from the Governor within the
thirty (30) days of receipt of the notice, the gift is
deemed rejected and must be returned to the
donor;
(O) anything for which market value is paid or
secured by written contract to be paid by the
state officer or state employee no later than 30
days of receipt;
(P) transportation furnished to a state officer or
state employee for the purpose of assisting the
officer or employee in the performance of the
officer's or employee's official duties and from
which the officer or employee receives only
incidental personal benefits ancillary to said
purpose;
(Q) food, transportation or entertainment
provided by a governmental agency or
governmental enterprise of a foreign nation as a
gesture of hospitality;
(R) prescription drugs or similar items given to
the recipient for distribution to patients in need of
treatment which are not used by the recipient;
(S) a meal or other food served at a meeting at
which the state officer or state employee is an
invited guest; and
(T) any gratuity provided at a meeting,
conference, or seminar by sponsors, exhibitors,
etc., the cost of which is not borne by a registrant
to such meeting, conference, or seminar, and
which is available to all registrants; and
(U) any single item with a fair market value not
exceeding Ten Dollars ($10.00) provided to a
state officer or state employee during a calendar
year; provided, if a donor provides more than
one such item to a state officer or state
employee during a calendar year, any such
additional items shall not be subject to this
exception; and
(V) a ticket to the Speaker’s Ball.
"Associated", when used with reference to an
entity, includes an entity in which an individual or a
member of his or her immediate family is a director,
officer, fiduciary, trustee, agent, or partner, or owns or
controls, in the aggregate, at least two percent (2%) or
a value of five thousand dollars ($5,000) of the
outstanding equity.
"Ballot measure" means an initiative, referendum,
legislative referendum, legislative initiative, state
question, or any proposition or measure submitted to
voters for their approval or rejection at a statewide
election.
"Business" means any corporation, limited liability
company, partnership, limited liability partnership,
limited partnership, sole proprietorship, firm,
enterprise, franchise, association, self-employed
individual, holding company, joint stock company,
receivership, trust, or any legal entity through which
business is conducted for profit.
"Business day" means any day except a Saturday,
Sunday or a legal holiday designated in Section 82.1 of
Title 25 of the Oklahoma Statutes.
"Campaign" means and includes all activities for or
against the election of a candidate to a specific state
office for a specific term or the passage or defeat of a
ballot measure from the date of acceptance of the first
contribution, the making of the first expenditure, or the
filing of a declaration of candidacy, whichever is first,
until a final campaign contributions and expenditures
report is filed.
"Campaign expenditure" is an expenditure not
otherwise prohibited which is used to defray the costs
of a candidate's campaign including, without limitation,
advertising, travel and food while campaigning, and
costs for campaign workers, whether paid or
volunteers.
"Candidate" means a person who seeks
nomination or election to state office. An individual is
a candidate when the individual:
(1) has filed a declaration of candidacy for any
state office with the Secretary of the State Election
Board;
(2) has filed a declaration of candidacy with the
Secretary of State and has drawn active opposition;
(3) is nominated as a "substitute candidate"
pursuant to Section 1-105 of Title 26 of the
Oklahoma Statutes; or
(4) solicits or accepts contributions, makes
expenditures or gives consent to an individual,
organization, party committee, or other committee
to solicit or accept contributions or make
expenditures to secure election to any state office at
any time, whether or not the office for which the
individual will seek nomination or election is known
when the:
(A) solicitation is made;
(B) contribution is accepted; or
(C) expenditure is made.
The term "candidate" shall include a person whose
candidacy is unopposed.
"Candidate committee" means the committee,
consisting of one or more persons who may be the
candidate only, designated by a candidate to promote
the candidate's candidacy and serve as the recipient of
all contributions and the disburser of all expenditures
for the candidate.
"Charitable organization" means an entity
described in 501 (c) (3) of Title 26 of the United States
Code, 26 U.S.C., Section 501 (c) (3), as it currently
exists or as it may be amended.
"Classified employee" means a state employee or
a state employee on leave from employment who is
under the jurisdiction of the Merit System of Personnel
74, Ch. 62, App. STATE GOVERNMENT 16
257:1-1-2 ETHICS COMMISSION RULES O.S. 2011
Administration as provided in the Oklahoma Personnel
Act, Section 840.1 et seq. of Title 74 of the Oklahoma
Statutes.
“Clearly identified” means the candidate’s name,
nickname, photograph or drawing appears, or the
identity of the candidate is otherwise apparent
including, but not limited to, an unambiguous reference
such as “the Governor,” “your State Representative,”
or “the incumbent,” or including, but not limited to, an
unambiguous reference to his or her status as a
candidate such as “the Democratic gubernatorial
nominee” or “the Republican candidate for State
Senate District No. 49 in Oklahoma”.
"Commission" means the Ethics Commission.
"Committee" means a candidate committee,
political action committee, or party committee.
"Compensation"
(1) means:
(A) an advance, conveyance, forgiveness of
indebtedness, deposit, distribution, loan,
payment, pledge, or transfer of money or
anything of value; or
(B) a contract, agreement, promise, or other
obligation for an advance, conveyance,
forgivenes s of indebtedness, deposit,
distribution, loan, payment, pledge, or transfer of
money or anything of value,
for services rendered or to be rendered.
(2) The term does not include reimbursement of
expenses:
(A) if the reimbursement:
(i) does not exceed the amount expended
for the expenses; and
(ii) is substantiated by an itemization of
expenses; or
(B) if the reimbursement is authorized by law.
“Congressional district” means a territorial
division of the state of Oklahoma entitled to elect one
member to the United States House of
Representatives,
"Contribution"
(1) means and includes:
(A) a gift, subscription, loan, guarantee or
forgiveness of a loan, conveyance, advance,
payment, distribution, or deposit of money or
anything of value made to and with the
knowledge and for the benefit of a committee,
which expressly advocates the election or defeat
of a clearly identified candidate or candidates or
the passage or defeat of a ballot measure or
ballot measures, or for reducing the debt of such
committee;
(B) an expenditure expressly advocating the
election or defeat of a clearly identified candidate
or candidates or the passage or defeat of a ballot
measure or ballot measures made by a person
or committee, other than a candidate committee,
with the cooperation of, or in consultation with, a
committee, a candidate, candidate committee, or
candidate's agent or that is made in concert with,
or at the request or suggestion of, a candidate,
candidate committee, or candidate's agent;
(C) the difference between the payment to a
person, other than a candidate or committee, of
compensation for personal services or products
to the candidate or committee, and the
reasonable and customary rate charged by the
person for like services or products in like
quantities when the candidate or committee has
knowledge of the discounted services or
products;
(D) anything of value received by a committee
that is transferred from another committee or
other source;
(E) sums paid for tickets for a political event
such as a reception, rally, or a similar fundraising
event; however, the amount of any such
contribution may be reduced for the purpose of
complying with the reporting and contribution
limitations requirements of Chapter 10 of this
title, by the actual cost of consumables furnished
by the committee in connection with the
purchase of the tickets, and only the excess over
the actual cost of the consumables shall be
deemed a contribution;
(F) the candidate's own money used on behalf
of that candidate's candidacy; and
(G) the difference between the open market
value and a discount or rebate:
(i) not extended to the public generally; or
(ii) by a television or radio station not
extended equally to all candidates for the
same office.
(2) The term "contribution" shall not include:
(A) the value of services provided without
compensation by any individual who volunteers
on behalf of a candidate or committee;
(B) for purposes of the contribution limits set
forth in Section 2 of Chapter 10, the transfer of
any funds by a political action committee to an
affiliated or connected political action committee
or by a party committee to an affiliated or
connected party committee, provided the
committees have been established as provided
by law and the transferring committee and the
receiving committee have been established,
directly or indirectly, and are administered or
financially supported, directly or indirectly, by a
common entity; or
(C) any payment or obligation incurred by a
corporation, labor organization, membership
organization, cooperative or corporation without
capital s toc k for the es tablishment,
administration, and solicitation of contributions to
a separate segregated fund or political action
committee to be utilized for political purposes;
17 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2
(D) a nonreimbursed payment made by an
individual for the individual's own travel expenses
on behalf of a committee;
(E) a payment made by an occupant of a
residence or office for costs related to a meeting
or fundraising event held in the occupant's
residence or office if the costs for the meeting or
fundraising event do not exceed five hundred
dollars ($500). However, if the occupant hosts
more than one (1) event in an election cycle for
the same beneficiary, all subsequent payments
that exceed five hundred dollars ($500) in the
aggregate are contributions;
(F) a loan of money made in the ordinary
course of business by a financial institution
authorized to transact business in this state at
terms and interest rates generally available to a
member of the public without regard to that
person's status as a state officer or state
employee or a candidate for state office by the
institution;
(G) a communication by a corporation, labor
organization, or association aimed at its
employees, members, owners, stockholders,
directors, executive administrative personnel, or
their families;
(H) a tender of a contribution if the tender is
not accepted, including use as collateral, or
is transferred to the state as provided in
Subsection (i) of Section 2 of Chapter 10 of this
title;
(I) the fair market value earnings of a sole
proprietorship, partnership, limited partnership,
limited liability partnership, or limited liability
company; or
(J) a communication which does not expressly
advocate the election or defeat of a clearly
identified candidate or candidates or the
passage or defeat of a ballot measure or ballot
measures.
(3) If any person makes, or contracts to make,
any disbursement for any electioneering
communication as defined in this section; and such
disbursement is coordinated with a:
(A) candidate or authorized committee of such
candidate, or agent or official of any such
candidate, such disbursement or contracting
shall be treated as a contribution to the
candidate supported by the electioneering
communication and as an expenditure by that
candidate committee;
(B) state or local political party or committee
thereof, or agent or official of such political party,
such disbursement or contracting shall be
treated as a contribution to the political party of
the candidate or candidates supported by the
electioneering communication and as an
expenditure by that candidate’s or candidates’
party; or
(C) ballot measure committee, or an agent or
official of any such ballot measure committee;
such disbursement or contracting shall be
treated as a contribution to the ballot measure
committee supported by the electioneering
communication and as an expenditure by that
ballot measure committee.
"Contributor" means and includes every person
who makes a contribution.
"Day" means calendar day, except that in instances
where a report or other document is required to be filed
with the Commission and the calendar day upon which
such a report or document must be filed falls on a day
other than a business day, any such report or
document may be filed on the immediate next
business day.
“Economic interest��� means a personal financial
interest in a state purchase, sale, lease, contract,
option, or other transaction or arrangement involving
property or services when the person who has the
economic interest is taking action to influence the state
purchase, sale, lease, contract, option, or other
transaction or arrangement involving property or
services.
"Election" means a Primary, Run-off Primary,
General, or Special Election in which a candidate or
ballot measure is on the ballot.
"Election board" means the State Election Board
in reference to candidates who file a declaration of
candidacy with the State Election Board.
"Election cycle" means the period beginning the
day after the General Election, up to and including the
following General Election, including a Primary, Special
Primary and the following Special General Election.
“Electioneering communication”
(1) means any communication or series of
communications that is sent by handbill or direct
mail; broadcast by radio, television, cable or
satellite; or appear in a newspaper, magazine or on
a billboard which –
(A) refer to one candidate or one or more of
the same clearly identified candidates for state
office or one ballot measure or one or more of
the same ballot measures;
(B) are made within –
(i) 60 days before a general or special
election for the office sought by the candidate
or candidates or the ballot measure or ballot
measures; or
(ii) 30 days before a primary or runoff
primary election for the office sought by the
candidate or candidates; and
(C) are targeted to the relevant electorate;
(2) does not mean –
(A) a communication or series of
communications appearing in a news story,
74, Ch. 62, App. STATE GOVERNMENT 18
257:1-1-2 ETHICS COMMISSION RULES O.S. 2011
commentary, or editorial distributed through the
facilities of any broadcasting station, newspaper,
magazine, or other periodical publication, unless
such facilities are owned or controlled by any
political party, political action committee,
candidate, candidate committee or ballot
measure committee;
(B) a communication or series of
communications which constitute an expenditure
or an independent expenditure under this
chapter; or
(C) a communication or series of
communications which constitute a candidate
debate or forum or which solely promotes such
a debate or forum and is made by or on behalf of
the person sponsoring the debate or forum;
(3) For purposes of this definition, a
communication or series of communications which
refer to one or more clearly identified candidates for
state office or one or more ballot measures are
‘targeted to the relevant electorate’ if the
communication or series of communications have
been or can be received by –
(A) 2,500 or more persons in the district the
candidate seeks to represent in the case of a
candidate for the Oklahoma State House of
Representatives;
(B) 5,000 or more in the district the candidate
seeks to represent in the case of a candidate for
district attorney, district judge, associate district
judge, or the Oklahoma State Senate; or
(C) 25,000 or more persons in the State of
Oklahoma in the case of a candidate for a
statewide elective office or ballot measure.
"Elective officer" means an individual elected to a
state office or an individual who is appointed to fill a
vacancy in a state office.
"Expenditure":
(1) means a purchase, payment, distribution,
loan, advance, compensation, reimbursement, fee
deposit, transfer of funds between committees, or
a gift made by a committee which is used to
expressly advocate the election or defeat of a
clearly identified candidate or candidates or the
passage or defeat of a ballot measure or ballot
measures.
(2) An expenditure does not include the following:
(A) a loan of money, made in the ordinary
course of business, by a financial institution
authorized to transact business in this state;
(B) a communication by a corporation, labor
organization, or association aimed at its
employees, members, owners, stockholders,
executive administrative personnel, or their
families;
(C) uncompensated services provided by an
individual volunteering the individual's time; or
(D) a transfer of funds to another committee if
such transfer is not accepted; or
(E) any news story, commentary, or editorial
distributed through the facilities of any
broadcasting station, newspaper, magazine, or
other periodical publication, unless such facilities
are owned or controlled by any political party,
political action committee, candidate, candidate
committee or ballot measure committee.
"Expenditures incurred" means an amount owed
to a creditor for purchase of delivered goods or
completed services.
"Family" means an individual, his or her spouse, if
any, and all children under the age of eighteen (18)
years residing in the same household.
"Filer" means an individual who is required to file a
report or statement pursuant to this title.
"Gift" means "anything of value", as defined in this
section, to the extent that consideration of equal or
greater value is not received in exchange therefor.
"Governmental entity"
(1) means any department, commission,
authority, council, board, bureau, committee,
legislative body, agency, state beneficial public
trust, or other establishment of the executive,
legislative or judicial branch of the State of
Oklahoma.
(2) shall not mean entities of political subdivisions
of the State of Oklahoma.
"Immediate family" means a child under the age of
eighteen (18) years residing in a state officer's or state
employee's household, a spouse of a state officer or
state employee, and an individual claimed by the state
officer or state employee or the state officer's or state
employee's spouse as a dependent for tax purposes.
"Income" means any money or thing of value
received, or to be received as a claim on future
services, whether in the form of a fee, salary, gift,
expense, allowance, forbearance, forgiveness,
interest, dividend, royalty, rent, capital gain, or any
other form of recompense or any combination thereof;
provided, the term "income" shall not include campaign
contributions.
"Independent expenditure" means an expenditure
made by a person to advocate the election or defeat of
a clearly identified candidate or candidates or a ballot
measure or ballot measures, but which is not made to,
controlled by, coordinated with, requested by, or made
upon consultation with a candidate, committee,
treasurer, deputy treasurer or agent of a candidate
committee or a ballot measure committee.
"In-kind contribution or expenditure" means
goods or services provided to or by a person at no
charge or for less than their fair market value, but shall
not include services provided by a volunteer.
“Judicial office” means all elective offices for
district judge, associate district judge and offices for
19 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2
which declarations of candidacy are filed with the
secretary of state.
"Legislation" means a bill, resolution, amendment,
nomination or other matter pending in either house of
the Legislature; any other matter which may be the
subject of action by either house of the Legislature,
including the introduction, consideration, passage,
defeat, approval or veto of the matter; or any matter
pending in or which may be the subject of action by a
constitutional convention.
"Loan" means a transfer of money, property,
guarantee, or anything of value in exchange for an
obligation, conditional or not, to repay in whole or part.
"Lobbying", or any derivative of the word thereof,
means any oral or written communication with a
member of the Legislature or with the Governor or with
a member of the judiciary or with an employee of the
Legislature or the Governor or the judiciary on behalf
of a lobbyist principal with regard to the passage,
defeat, formulation, modification, interpretation,
amendment, adoption, approval or veto of any
legislation, rules, regulation, executive order or any
other program, policy or position of the state
government; provided, however, it shall not mean
testimony given before, or submitted in writing to, a
committee or subcommittee of the Legislature, nor a
speech, article, publication or other material that is
widely distributed, published in newspapers,
magazines or similar publications or broadcast on
radio or television; provided further, it shall not mean
representation of himself or a client by an attorney,
acting in a professional capacity as an attorney, in a
court proceeding or quasi-judicial proceeding.
"Lobbyist" means any individual who is employed
or retained by another for financial or other
compensation to perform services that include
lobbying, other than an individual whose lobbying
activities are only incidental to, and are not a significant
part of, the services provided by such individual to the
client, except as exempted by Section 4228 of Title 74
of the Oklahoma Statutes or as it may hereafter be
renumbered or recodified.
"Lobbyist principal" means any person who
employs or retains another person for financial or other
compensation to conduct lobbying activities on behalf
of the lobbyist principal; provided, however, it shall not
mean any individual members, partners, officers or
shareholders of a corporation, association, firm, joint
venture, joint stock company, syndicate, business
trust, estate, trust, company, partnership, limited
partnership, organization, committee, or club, or a
group of persons who are voluntarily acting in concert.
"Official action" means any judicial, executive,
legislative or administrative action which shall include,
but is not limited to, the promulgation of rules and
regulations and the setting of rates.
"Organization" means a:
(1) labor organization;
(2) collective bargaining organization;
(3) local, state, or national organization to which
a labor organization pays membership or per capita
fees, based upon its affiliation and membership; or
(4) trade or professional association that receives
its funds exclusively from membership dues or
service fees, whether organized inside or outside
the state.
“Out-of-state”, with respect to a committee or
person, means that the committee or person expends
funds to influence an election to a partisan political
office outside the State of Oklahoma and that, in the
twelve-month period preceding the funding of an
independent expenditure or elec tioneering
communication in this state, seventy-five (75%) or
more of the committee’s or person’s total funding spent
was spent on elections outside the State of Oklahoma
or on federal elections.
"Participation" includes decision, approval,
disapproval, recommendation, the rendering of advice,
or vote.
"Particular matter" includes a judicial or other
proceeding, application, request for a ruling or other
determination, contract, claim, controversy, inquiry,
investigation, charge, accusation, arrest, rulemaking,
or legislation.
"Party committee" means a political party or any
affiliated or connected entity.
"Person" means an individual, corporation, limited
liability company, association, proprietorship, firm,
partnership, limited liability partnership, limited
partnership, joint venture, joint stock company,
syndicate, business trust, estate, trust, company,
organization, committee, or club, or a group of persons
who are voluntarily acting in concert.
"Political action committee"
(1) means a combination of at least two
individuals, or a person other than an individual:
(A) with the primary purpose of:
(i) expressly supporting or opposing a
clearly identified candidate or candidates, or
a party committee, except those required to
file with the Federal Election Commission, or
(ii) supporting or opposing a ballot
measure; and
(B) which accepts or gives contributions or
makes expenditures from a joint account
aggregating at least five hundred dollars ($500)
during a calendar year.
(2) does not include:
(A) a party committee or a candidate
committee;
(B) a person other than an individual, when
that person makes an expenditure or
expenditures from an account to which
contributions have not been solicited or accepted
from any other persons or individuals; and, the
expenditure or expenditures are required by
74, Ch. 62, App. STATE GOVERNMENT 20
257:1-1-2 ETHICS COMMISSION RULES O.S. 2011
these rules to be reported by the recipient
committee or committees as a contribution or
contributions;
(C) a combination of individuals, or a person
other than an individual, if the combination of
individuals, or a person other than an individual,
solicits contributions on behalf of a committee;
and, any contributions received as a result of the
solicitation are forwarded to the committee
without being deposited in any account; and, the
contributions are required by these rules to be
reported by the committee that receives the
contributions;
(D) a corporation; or
(E) a labor union.
"Political party" means any political party so
recognized for the purpose of having candidates
appear on the ballot.
"Public member" means a member appointed to
a compensated or uncompensated part-time position
on a board, commission, council, authority, bureau,
committee, state beneficial public trust, or other
establishment of the executive, legislative or judicial
branch of the State of Oklahoma.
(1) A public member does not lose this status by
receiving reimbursement of expenses or a per diem
payment for services.
(2) A public member does not include:
(A) members of advisory bodies to the
legislative, executive, or judicial branch of state
government;
(B) Postadjudication Review Board members
appointed pursuant to Section 1116.2 of Title 10
of the Oklahoma Statutes;
(C) board members of guaranty associations
created pursuant to state statute; and
(D) precinct inspectors, judges, clerks and
counters.
"Registered lobbyist" means a person that has
filed as a lobbyist with the Commission.
"Represent" or "representation" means any
formal or informal attendance before, or any written or
oral communication with, or the filing of documents
with any governmental entity on behalf of a person or
organization whether gratuitous or for compensation.
"Securities" means evidences of debts, property or
obligations to pay money or of rights to participate in
earnings and distribution of corporate trust, and other
property, including but not limited to, stocks, bonds,
notes, convertible debentures, warrants, or other
documents that represent a share in a company or a
debt owed by a company.
"State employee"
(1) means:
(A) an elective or appointed officer or an
employee of any governmental entity, except
members of the House of Representatives or
State Senate; and
(B) an employee, other than an adjunct
professor, in the service of an institution of
higher education comprising the Oklahoma State
System of Higher Education.
(2) does not mean a public member.
"State office" means all elective offices for which
declarations of candidacy are filed with the Secretary
of the State Election Board.
"State officer" means an elective, appointed or
employed officer, including a public member, in the
executive, judicial or legislative branch of the State of
Oklahoma.
"Substantial financial interest"
(1) means and includes, but is not limited to:
(A) an interest that could result in directly or
indirectly receiving a substantial pecuniary gain
or sustaining a substantial pecuniary loss as a
result of a person’s ownership or interest in a
business entity, or as a result of a person’s
salary, gratuity or other compensation or
remuneration from any person, partnership,
organization or association.
(B) An ownership interest in a private
business, closely held corporation or limited
liability company for which the person or the
person’s immediate family member is a director,
officer, owner, manager, employee, or agent or
any private business, closely held corporation or
limited liability company in which the person or
the person’s immediate family member owns or
has owned stock, another form of equity interest,
stock options, debt instruments, or has received
dividends, worth one thousand dollars
($1,000.00) or more at any point during the
preceding calendar year;
(C) An ownership interest of five percent (5%)
or more in a publicly held corporation by a
person or the person’s immediate family
member;
(D) An ownership interest in a publicly held
corporation from which dividends of one hundred
thousand dollars ($100,000.00) or more were
derived during the proceeding calendar year by
the person or the person’s immediate family
member; or
(E) An interest which arises as a result of the
person’s or the person’s immediate family
member’s service as a director, officer,
representative, agent or employee of a publicly
held corporation within the preceding calendar
year.
(2) The term “substantial financial interest” shall
not be construed to include:
(A) An interest in a mutual fund or other
community investment vehicle in which the
person or the person’s immediate family member
exercises no control over the vehicle’s
acquisition or sale of particular holdings; or
21 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-5
(B) An interest in a pension plan, 401k, IRA or
other retirement investment vehicle in which the
person or the person’s immediate family member
exercises no control over the vehicle’s
acquisition or sale of particular holdings.
"Surplus funds" arise:
(1) when a candidate committee has an
unexpended balance of funds not otherwise
obligated for the purposes specified in Paragraph
(1) of Subsection (a) of Section 20 of Chapter 10 of
this title; or
(2) when a committee formed to support or
oppose a ballot measure has an unexpended
balance of funds not otherwise obligated for any
campaign expenditure; or
(3) when a committee, other than a candidate
committee or a ballot measure committee, has an
unexpended balance of funds not otherwise
obligated to further the committee's purposes.
"Transfer" means the movement or exchange of
anything of value between committees, except the
disposition of surplus funds or material assets by a
candidate committee to a party committee in
accordance with the dissolution procedure in Sections
19 and 20 of Chapter 10 of this title.
Amended Laws 1995. Amended Laws 1997. Amended Laws
1998. Amended Laws 1999. Amended Laws 2000. Amended Laws
2001. Amended Laws 2002. Amended Laws 2003. Amended Laws
2005. Amended Laws 2006. Amended Laws 2007. Amended Laws
2008. Amended Laws 2009. Amended Laws 2010. Amended Laws
2011.
257:1-1-3. Office and hours–Filing requirements
(a) The principal office of the Ethics Commission is
in B-5 State Capitol Building, Oklahoma City,
Oklahoma 73105. The Office is open 8:00 a.m. to
5:00 o'clock p.m. each business day.
(b) Except as otherwise provided by Sections 15 and
16 of Chapter 10 of this title, in order to be deemed
timely filed, reports, registrations, statements or any
other documents required to be filed with the
Commission must be received by the Commission by
hand, mail, facsimile transmission, telegram or
express delivery service not later than 5:00 o'clock
p.m. on the day specified for filing.
(c) Except as otherwise specified by Sections 15
and 16 of Chapter 10 of this title, any act authorized,
required, or permitted to be performed on a day other
than a business day may be performed on the next
succeeding business day, and no liability or loss of
rights of any kind shall result from such delay.
Amended Laws 1995.
257:1-1-4. Prohibited acts
(a) No member or employee of the Commission,
during the period of such membership or employment,
shall:
(1) hold or campaign for state or local office;
(2) be an officer of any committee;
(3) permit his name to be used, or make
contributions, in support of or in opposition to any
candidate or proposition;
(4) participate in any way in any election
campaign; provided, a member or employee of the
Commission shall retain the rights to register and
vote in any election, to express his opinion privately
on political subjects or candidates, to participate in
the activities of a civic, community, social, labor or
professional organization and to be a member of a
political party or committee;
(5) lobby or assist a lobbyist, except as otherwise
permitted in these rules; provided a member or
employee of the Commission may lobby on matters
directly affecting the Act or its rules promulgated
pursuant to Article XXIX of the Oklahoma
Constitution;
(6) sell or cause to be sold, rent or lease either as
an individual or through any nonpublicly traded
business enterprise in which he holds a substantial
financial interest, goods, services, buildings or
property to the state or any county except by
condemnation or threat of condemnation. A
member or employee of the Commission holding a
substantial financial interest in a business
enterprise shall disqualify himself in any proceeding
in which such interest might cause his impartiality to
be reasonably questioned pursuant to the
provisions of Section 5 of this chapter;
(7) be employed by the state or any county in any
other capacity, whether or not for compensation;
(8) receive or agree to receive compensation for
representing or assisting any person or business in
any transaction involving the state or any county,
except a court of law, or represent another person,
firm, corporation or entity for a fee before any
governmental entity, except a court of law; or
(9) represent any person as an attorney before
the Commission, provided that an employee of the
Commission may act as a lawyer before the
Commission in the course of the employee's official
duties.
(b) Nothing in this section shall prohibit members or
employees of the Commission from performing the
functions permitted under this title.
257:1-1-5. Conflicts of interest
(a) Disqualification. A member of the Ethics
Commission shall disqualify himself or be disqualified
by the Commission in a proceeding in which his
impartiality might reasonably be questioned, including
but not limited to, instances where:
(1) the member has a personal bias or prejudice
concerning a party, or personal knowledge of
disputed evidentiary facts concerning the
proceeding;
(2) the member knows that he or his spouse or
child has an interest in the subject matter in
74, Ch. 62, App. STATE GOVERNMENT 22
257:1-1-5 ETHICS COMMISSION RULES O.S. 2011
controversy or in a party to the proceeding that
could be substantially affected by the outcome of
the proceeding;
(3) the member or his spouse or a person within
the third degree of consanguinity to either of them
or the spouse of such person:
(A) is a party to the proceeding, or an officer,
director, or trustee of a party;
(B) is known by the member to have an
interest that could be substantially affected by
the outcome of the proceeding; or
(C) is to the member's knowledge likely to be
a material witness in the proceeding; or
(4) the member's spouse or a person within the
third degree of consanguinity to either of them or
the spouse of such person is representing any
person as an attorney in the proceeding.
(b) Knowledge of financial interests. A member
of the Commission shall inform himself about his
personal and fiduciary financial interests and make a
reasonable effort to inform himself about the personal
financial interests of his spouse and children.
257:1-1-6. Powers and responsibilities of
Commission
(a) Election of officers. In October of each year, or
at the next Commission meeting after September, the
Commission shall choose a chair and vice chair from
among themselves. No member shall serve more than
one consecutive year as chair.
(b) Repository. The Commission shall serve as the
official repository for statements of financial interests,
statements of organization, last minute contributions
reports, last minute independent expenditures reports,
statements of inactivity, campaign contributions and
expenditures reports, lobbyist expenditure reports and
such other documents filed by committees, state
officers, state employees, lobbyists and other persons
as pertain to its duties.
(c) Voluntary filings. The Commission shall accept
and file any information voluntarily supplied that
exceeds the requirements of this title; provided, the
Commission shall not require the disclosure of any
information other than as specifically provided by this
title or which helps identify the filer or committee.
(d) Distribution of forms. The Commission shall
distribute, and make available for downloading from its
website, forms upon which information shall be
provided as required by this title and copies of Article
XXIX of the Oklahoma Constitution and this title to the
persons required to submit forms to all candidates,
committees, officers, and employees required to
submit or electronically transmit such forms.
(e) Review of statements. The Commission shall
review a random sample of registrations, reports and
statements filed in accordance with this title for
compliance with its provisions and notify the individual,
if a candidate, or treasurer or, in the treasurer's
absence, the deputy treasurer, if a committee other
than a candidate committee, on whose behalf the
report or statement is filed, or filer of any material
omission or deficiency.
(f) Availability of public records. The
Commission shall make all registrations, reports and
statements filed with it available to the public during
regular business hours, subject to the Open Records
Act, Section 24A.1 et seq. of Title 51 of the Oklahoma
Statutes, within two (2) business days of receipt. No
original or record copies of reports, registrations or
statements shall be removed from the office of the
Commission. No information or identification shall be
required by the Commission as a condition of viewing
or copying a registration, report or statement which is
available to the public.
(g) Preservation of documents. The Commission
shall preserve such reports, registrations and
statements in accordance with the Records
Management Act, Section 201 et seq. of Title 67 of the
Oklahoma Statutes, or for a period of at least five (5)
years from date of receipt.
(h) Ethics interpretations. The Commission may,
in its discretion and where appropriate, issue ethics
interpretations pertaining to the provisions of this title
when requested by any person or committee who may
be subject to the jurisdiction of the Commission.
Before issuing an ethics interpretation, the
Commission shall announce its consideration of an
ethics interpretation at a meeting of the Commission,
provide interested persons with a copy of the request
for the ethics interpretation with sufficient deletions to
prevent the disclosure of the identity of the person or
persons involved in the situations presented in the
request for the ethics interpretation, schedule and
provide notice of a hearing on the request no fewer
than thirty (30) days after the announcement and
accept both written and oral comments on the request
at the hearing. At least five (5) days before the
hearing, Commission staff comments and/or draft
ethics interpretations shall be made available to the
public for comment. Should the Commission
determine that a request requires a response more
quickly than the notice and hearing would permit, the
Commission may issue a confidential “emergency
opinion” without notice and a hearing, and such an
emergency opinion shall apply only to the person
making the request and shall be limited to the specific
fact situation included in the request. Notwithstanding
the issuance of such an emergency opinion, the
request for an ethics interpretation shall be scheduled
for notice and hearing, the same as any other request.
If the ethics interpretation thereafter adopted is
different than the emergency opinion, the ethics
interpretation shall be given prospective effect. The
Commission shall make all ethics interpretations
issued available to the public within thirty (30) days of
the date of issuance. Provided, failure of a person to
23 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-7
request an ethics interpretation shall have no
relevance in any subsequent proceeding under this
title involving such person. Provided further, such
interpretation shall be binding on the Commission in
any subsequent proceeding under this title. The
Commission shall publish its ethics interpretations
annually; provided that sufficient deletions shall be
made by the Commission in published ethics
interpretations or ethics interpretations made available
to the public to prevent the disclosure of the identity of
the person or persons involved in the situations
presented in the ethics interpretations. The executive
director or the general counsel may issue informal
written opinions, as time permits and with the prior
approval of the chair or vice chair, pertaining to the
provisions of this title on questions that are susceptible
to a single analysis by the clear language of the rule
and are not the subject of litigation, investigation or
legislation. The Commission shall publish informal
written opinions annually; provided that sufficient
deletions shall be made by the Commission in
published informal written opinions or informal written
opinions made available to the public to prevent the
disclosure of the identity of the person or persons
involved in the situations presented in the informal
written opinions. If the matter is subject to more than
one analysis, the executive director or general counsel
may give an oral opinion but shall inform the petitioner
of the dual analysis and the need to request a formal
ethics interpretation and shall provide the Commission
with an account of the question or questions asked and
the rule provision or provisions to which they pertain.
(i) Hearings and subpoenas. The Commission
shall, pursuant to this title and as specifically
authorized by law, hold hearings, subpoena witnesses
upon a vote of a majority of the members of the
Commission, and compel their attendance and
testimony, administer oaths and affirmations, take
evidence, and require by subpoena the production of
any books, papers, records, or other items relevant to
the performance of the Commission's duties or
exercise of its powers.
(j) Investigations. The Ethics Commission shall
conduct investigations and hearings concerning
alleged violations of its rules governing ethical conduct
for campaigns for elective state office, campaigns for
initiatives and referenda and for ethical conduct of
state officers and state employees and certify its own
acts and records and determine whether to investigate
and act upon an allegation.
(k) Prosecution. The Commission shall, when it
deems appropriate, prosecute in the district court of
the county where the violation occurred violations of
the provisions of this title governing ethical conduct of
campaigns, state officers, state employees, and
lobbyists. Where uncertainty exists as to the county in
which the violation occurred, the Commission may
prosecute in any county in which the evidence
indicates the violation might have been committed.
(l) Settlement. The Commission may settle
allegations or investigations and accept payment of
fines without court order. Fines paid shall be deposited
with the State Treasurer to the credit of the General
Revenue Fund of the State of Oklahoma.
(m) Promulgate constitutional rules. After public
hearing, the Commission shall promulgate rules of
ethical conduct for campaigns for elective state office,
for campaigns for initiatives and referenda and for
state officers and employees, including civil penalties
for violation of those rules, pursuant to the provisions
of Section 3 of Article XXIX of the Oklahoma
Constitution. An amendment, which is not sponsored
by a commissioner, shall not be included in the draft of
amendments subject to a final vote of the Commission.
(n) Annual Report. No later than December 1 of
each year, the Commission shall report to the five
appointing authorities on the Commission's activities in
the preceding fiscal year. The report shall contain the
names and duties of each individual employed by the
Commission and a summary of Commission
determinations and ethics interpretations. The
Commission shall prevent disclosure of the identity of
a person involved in investigations, complaints or
ethics interpretations. The report may contain other
information on matters within the Commission's
jurisdiction and recommendations for legislation as the
Commission deems desirable.
(o) The Ethics Commission may take other actions
it deems appropriate to fulfill its constitutional or
statutory duties.
Amended Laws 1995. Amended Laws 1996. Amended Laws
1997. Amended Laws 1998. Amended Laws 2003. Amended Laws
2004. Amended Laws 2007. Amended Laws 2009.
257:1-1-7. Forms and publications
The Executive Director shall devise or
designate forms and form software and publications to
conform with this title, subject to the approval of the
Commission, which shall include, but not be limited to,
the following forms and publications and shall make
such forms, form software and publications available
to the public:
(1) Copy of Article XXIX of the Oklahoma
Constitution and this title;
(2) Statement of organization;
(3) Campaign contributions and expenditures
report;
(4) Request for rule adoption, amendment or
repeal;
(5) Statement of inactivity;
(6) Last minute contributions report;
(7) Last minute independent expenditures report;
(8) Contributor statement;
(9) Statement of financial interests;
(10) Lobbyist or other person gift report;
74, Ch. 62, App. STATE GOVERNMENT 24
257:1-1-7 ETHICS COMMISSION RULES O.S. 2011
(11) Request for ethics interpretation;
(12) Prohibited acts of classified state employees;
and
(13) Notices, instructions, and educational
manuals for filling out forms and complying with this
title.
Amended Laws 1996.
257:1-1-8. Availability of documents
(a) Documents shall be available to the public for
inspection between 8:00 a.m. and 5:00 o'clock p.m. on
business days.
(b) Persons wishing to photocopy documents in the
custody of the Ethics Commission may do so in
accordance with provisions of the Open Records Act.
Photocopies of documents may be made upon
payment of twenty-five cents ($.25) per page for each
page of a document requested. The Executive
Director may, in his or her discretion, require additional
fee payment, as provided in the Open Records Act, to
recover and photocopy documents requested.
257:1-1-9. Request for ethics interpretation
(a) Any person who may be subject to the
jurisdiction of the Commission, may request in writing
an interpretation regarding the application of such rule
to the facts or hypothetical set of facts furnished with
the inquiry. Such request may be in the form of a
petition for ethics interpretation. The petition shall
state fully the facts of the situation of the requesting
party as are or may be pertinent to the rule. Such
person may request the assistance of the
Commission's staff in complying with the requirements
of this section. The Commission may respond, in its
discretion and where appropriate, to such questions by
assigning the request or inquiry to administrative staff
for review. Thereafter, the Commission may make a
final determination of the interpretation. The
interpretation of the rule will be furnished in writing to
the person making the request.
(b) The Commission shall not issue ethics
interpretations on matters it knows to be the subject of
pending investigation, litigation or legislation.
(c) The petition shall be in substantially the following
form:
BEFORE THE ETHICS COMMISSION
In the matter of the petition No. (to be
for Ethics Interpretation assigned by
of staff)
PETITION FOR ETHICS INTERPRETATION
, a person who may be subject
(Name of Petitioner)
to the jurisdiction of the Commission states:
The facts upon which this petition is based are as
follows:
(State facts in general terms and explain why question exists.)
WHEREFORE, petitioner requests that the
Commission review this petition and make a final
determination of the interpretation requested and
provide the interpretation in writing to petitioner.
PETITIONER
DATE:
257:1-1-10. Request for rule adoption,
amendment or repeal
All interested persons may ask the Commission to
adopt, amend or repeal a rule; such request shall be in
writing and filed with the Commission. The request
shall set forth fully the reasons for its submission; the
alleged need or necessity therefor, whether or not the
proposal conflicts with any existing rule, and what, if
any, statutory provisions are involved. Such persons
may request the assistance of the Commission's staff
in complying with the requirements of this section.
Such request shall be considered by the Commission
and, if approved, notice shall be given that such
proposal will be formally considered for adoption. If,
however, it is initially determined that the proposal or
request is not a necessary adoption, amendment or
repeal, the same shall be refused and the decision
reflected in the records of the Commission. A copy
shall be sent to the interested person who submitted
the request.
BEFORE THE ETHICS COMMISSION
In the matter of the No. (to be
petition for Rule assigned
(Adoption, Amendment or by staff)
Repeal)
PETITION FOR RULE (ADOPTION,
AMENDMENT OR REPEAL)
, an interested person,
(Name of Petitioner)
requests that the Commission
(adopt, amend or repeal)
25 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-11
the following:
(if a request to adopt, amend or repeal, set out Rule in
question)
WHEREFORE, petitioner requests that the
Commission consider this petition and approve the
proposal submitted.
PETITIONER
DATE:
257:1-1-11. Misc e l lan eo u s c iv il penalty
provisions
(a) Civil penalties for violations of title. The
Commission may recommend to the district court, and
the district court, upon finding that a respondent has
violated a provision of this title, may assess one of the
following penalties:
(1) Civil penalties for non-willful violations. A
person who violates a provision of this title shall be
liable for a civil penalty:
(A) not to exceed one thousand dollars
($1,000) per violation for inadvertent disclosure
violations in registrations, reports or statements
filed under Chapters 10, 15, 20 and 23;
(B) not to exceed two thousand dollars
($2,000) per violation,
(i) for inadvertent failure to file
registrations, reports, statements or changes
in information relating to committee officer
vacancies, or
(ii) for inadvertent non-disclosure violations;
(C) for inadvertent violations not included in
Subparagraphs (A) or (B), not to exceed:
(i) fifteen thousand dollars ($15,000) per
violation, or
(ii) an amount up to three (3) times the
amount of the total amount of an unlawful
contribution or expenditure, whichever is
greater; and
(2) Civil penalties for willful violations. A
person who willfully violates a provision of this title
shall be liable for one or more of the following civil
penalties:
(A) Fine. A fine not to exceed fifty thousand
dollars ($50,000);
(B) Administrative debarment. In the case of
a state officer or state employee who has
violated Chapter 20 of this title, the person may
be prohibited, for not more than five (5) years,
from making an oral or written communication or
appearance before, with the intent to influence,
the governmental entity in which the former
officer or employee served;
(C) Censure, suspension or removal from
office. In the case of a:
(i) state officer liable to impeachment, a
recommendation to the House of
Representatives that the officer be removed
from office.
(ii) state officer not subject to impeachment
or a state employee in the classified or
unclassified service, a recommendation to the
appropriate appointing authority that the state
officer or state employee be censured,
suspended, or removed from office or
employment.
(iii) member of the state legislature, a
recommendation to the presiding officer of the
appropriate chamber of the legislature that
the legislator be censured or subject to
expulsion from office.
(iv) judge not subject to impeachment, a
recommendation to the Oklahoma Supreme
Court that the judge be censured or removed
from office.
(3) Third and subsequent violations. A person
who violates a provision of this title three or more
times shall be liable for a fine not to exceed:
(A) twenty-five thousand dollars ($25,000) per
violation for inadvertent violations or fifty
thousand dollars ($50,000) for willful violations,
or
(B) an amount up to three (3) times the
amount of the total amount of an unlawful
contribution or expenditure, whichever is greater.
(4) For violations relating to or arising out of
a candidacy. The Commission may recommend
and the district court may, upon determination of a
violation of a provision of Chapter 10 of this title,
require the candidate, elective officer, or committee
to:
(A) forfeit a prohibited contribution or the
excessive portion of a contribution to be
deposited with the State Treasurer to the credit
of the General Revenue Fund; or
(B) return a prohibited contribution or the
excessive portion of a contribution to the original
contributor.
(5) For violations of Chapter 20 or 23. The
Commission may recommend and the district court
may, upon determination of a violation of a provision
of Chapter 20 or 23 of this title, subject the officer,
employee, or lobbyist to the following:
(A) forfeiture of gifts, receipts or profits
obtained through a violation of Chapter 20 or 23
of this title;
74, Ch. 62, App. STATE GOVERNMENT 26
257:1-1-11 ETHICS COMMISSION RULES O.S. 2011
(B) voiding of a state action obtained through
a violation of the Commission's rules;
(C) civil penalties as set forth in this
subsection; or
(D) a combination of the penalties provided for
in this paragraph.
(b) Action by other governmental entities.
Nothing in this section shall prevent a governmental
entity from conducting its own investigation or taking its
own disciplinary action as provided by law with respect
to a violation committed by an officer or employee of
such governmental entity.
(c) Penalties to General Revenue Fund. A
forfeiture, fine, reimbursement, penalty, or other
property collected by the Commission as a penalty
under this title shall be deposited with the State
Treasurer to the credit of the General Revenue Fund.
Tangible personal property other than money collected
as a penalty or assessment under this title shall be
deposited with and liquidated by the State Treasurer
and the proceeds thereof deposited to the credit of the
General Revenue Fund.
(d) Liability. If two (2) or more persons are
responsible for an inadvertent violation, they shall be
equally liable for a proportionate share of the penalty.
If two (2) or more persons are responsible for a willful
violation, they shall be jointly and severally liable for
said penalty.
Amended Laws 1995. Amended Laws 2010, House Bill 2408,
§ 3, emerg. eff. July 1, 2010.
257:1-1-12. D i s c lo s u r e o f c o n f id e n t i a l
information
If the Commission, upon a vote of a majority of the
members serving, determines that any information or
record made confidential by the provisions of this title
has been disclosed by a member or employee of the
Commission, it shall immediately request that:
(1) the member voluntarily resign from the
Commission, or
(2) the employee be terminated.
257:1-1-13. Effective date of this chapter
The effective date of this chapter was July 1, 1994.
The effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 6, 1995 was July 1, 1995. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 6, 1996 was July 1, 1996. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 3, 1997 was July 1, 1997. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 3, 1998 was July 1, 1998. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 1, 1999 was July 1, 1999. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 8, 2000 was July 1, 2000. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 5, 2001 was July 1, 2001. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 5, 2002 was July 1, 2002. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 3, 2003 was July 1, 2003. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 3, 2004 was July 1, 2004. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 7, 2005 shall be July 1, 2005.
The effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 7, 2006 was July 1, 2006. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 5, 2007 and House Bill 2110
was July 1, 2007. The effective date of the
amendments to this chapter submitted to each House
of the Legislature and to the Governor on February 5,
2008 was July 1, 2008. The effective date of the
amendments to this chapter submitted to each House
of the Legislature and to the Governor on February 2,
2009 was July 1, 2009. The effective date of the
amendments to this chapter submitted to each House
of the Legislature and to the Governor on February 2,
2010, was July 1, 2010. The effective date of the
amendments to this chapter submitted to each House
of the Legislature and to the Governor on February 7,
2011, shall be July 1, 2011.
Amended Laws 1995, Amended Laws 1996. Amended Laws
1997. Amended Laws 1998. Amended Laws 1999. Amended Laws
2000. Amended Laws 2001. Amended Laws 2002. Amended Laws
2003. Amended Laws 2004. Amended Laws 2005. Amended Laws
2006. Amended Laws 2007. Amended Laws 2008. Amended Laws
2009. Amended Laws 2010, including House Bill 2408, emerg. eff.
July 1, 2010. Amended Laws 2011.
257:1-1-14. Applicability of rules
The rules of this chapter are adopted pursuant to
Article XXIX of the Oklahoma Constitution. The partial
or total invalidity of any section or sections of this
chapter, found by a court of competent jurisdiction,
shall not affect the valid sections.
27 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:10-1-2
CHAPTER 10.
CAMPAIGN REPORTING
Section
257:10-1-1. General purpose and authority
257:10-1-2. Contributions
257:10-1-3. Use of public funds, property, time, and
personnel to influence elections
257:10-1-4. Classified employees' political activity
257:10-1-5. Solicitation of and contributions by state
employees
257:10-1-6. Limitation on fundraisers in Oklahoma
County
257:10-1-7. Expenditures
257:10-1-8. Designation of candidate committees
257:10-1-9. Committee officers and agents
257:10-1-10. Campaign depositories and campaign
accounts
257:10-1-11. Registration requirements
257:10-1-12. Statement of organization
257:10-1-13. Required reports of contributions and
expenditures
257:10-1-14. Report contents
257:10-1-15. Report of last minute
contributions/receipts
257:10-1-16. Report of last minute independent
expenditures
257:10-1-17. Notification of filing obligation
257:10-1-18. Report filing requirements
257:10-1-19. Dissolution procedures
257:10-1-20. Use of campaign contributions and use
of surplus funds
257:10-1-21. Effective date of this chapter
257:10-1-22. Applicability of rules
257:10-1-1. General purpose and authority
The rules of this c

CONSTITUTIONAL AND STATUTORY PROVISIONS
and
CONSTITUTIONAL ETHICS RULES
governing the
ETHICAL CONDUCT
of
STATE OFFICERS AND EMPLOYEES
and
CAMPAIGNS
for
STATE OFFICE OR STATE ISSUES
*****
EFFECTIVE JULY 1, 2011
2300 North Lincoln Boulevard, Room B5 ! Oklahoma City, Oklahoma 73105-4812
(405) 521-3451 ! FAX (405) 521-4905 ! WEBSITE www.ethics.ok.gov
PREAMBLE
This document contains the following:
! Article XXIX of the Oklahoma Constitution titled Ethics Commission;
! Canon 5 of Chapter 1, Appendix 4 of Title 5 of the Oklahoma Statutes [Code of Judicial
Conduct]
! Section 48 of Title 17 of the Oklahoma Statutes;
! Sections 187, 187.1 and 187.2 of Title 21 of the Oklahoma Statutes;
! Sections 334, 360 and 463 of Title 21 of the Oklahoma Statutes;
! Section 2358.3 of Title 68 of the Oklahoma Statutes;
! Chapter 62–Ethics Commission Act [Sections 4200 through 4248.1 of Title 74 of the Oklahoma
Statutes [repealed];
! Chapter 62–statutes governing lobbying registration and activities, revolving fund
and local candidates filing electronic reports [Sections 4249 through 4260 of the Oklahoma
Statutes]; and
! Chapter 62–Appendix: Title 257. Ethics Commission [Sections 257:1-1-1 et seq. of the
Rules of the Ethics Commission, 74 O.S. 2011, Ch. 62, App.] [the “Rules”]. Amendments adding
or deleting language to the Rules and a synopsis of the amendments, which take
effect July 1, 2011, are available on the agency’s website as “2011 Promulgated
Rule Amendments" and “Synopsis of 2011 Promulgated Rule Amendments” at:
WWW.ETHICS.OK.GOV
Please note that the Ethics Commission has jurisdiction over the Political Subdivisions
Ethics Act [for county campaigns and officeholders] and the Rules of the Ethics
Commission only. The Commission has no jurisdiction to enforce other statutes,
whether they carry civil or criminal penalties. Related statutes to the ethics of state
officers or employees or state campaigns are included in this compilation for the
convenience of the user.
1 CONSTITUTION OF OKLAHOMA Art. 29 § 3
O.S. 2001
ARTICLE XXIX. ETHICS COMMISSION
1. Ethics Commission–Appointments–
Qualifications–Terms–Vacancies–Quorum
2. Appropriation–Compensation–Staff
3. Ethics Rules
4. Investigation–Decision–Subpoena Power
5. Ethics Interpretations
6. Criminal Penalties
7. Removal
§ 1. E th ic s Commis s io n –Ap p o in tmen ts –
Qualifications–Terms–Vacancies–Quorum
Ethics Commission–Appointments–
Qualifications–Terms–Vacancies–Quorum
A. There is hereby created the Ethics Commission
which shall consist of five members. The Governor,
Attorney General, President Pro Tempore of the
Senate, Speaker of the House of Representatives, and
Chief Justice of the Supreme Court shall each appoint
a person who is a registered voter of this State to the
Commission. The initial terms of the Governor's and
Attorney General's appointees shall be one year; the
initial terms of the President Pro Tempore's and
Speaker's appointees shall be three years, and the
initial term of the Chief Justice's appointee shall be five
years.
B. No congressional district shall be represented by
more than one Commissioner, and no more than three
persons of the same political registration shall serve on
the Ethics Commission at the same time.
C. After the initial terms, members of the Ethics
Commission shall serve terms of five years. No
person shall be appointed to the Commission more
than two times in succession, except the initial
members who serve less than five-year terms may be
appointed three times in succession. A vacancy on the
Commission shall be filled for the remainder of the
unexpired term by the appointing authority.
D. The members of the Commission shall choose a
chair from among themselves.
E. The term of office for a Commissioner shall
commence at noon on the second Monday in July.
F. No member of the Ethics Commission shall be
eligible for elected office for two years after completing
his or her term.
G. A majority of the members serving shall
constitute a quorum.
§ 2. Appropriation–Compensation–Staff
Appropriation–Compensation–Staff
A. The Ethics Commission shall receive an annual
appropriation by the Legislature sufficient to enable it
to perform its duties as set forth in this Constitutional
Amendment. Any funds appropriated to the Ethics
Commission, which remain unspent at the end of the
fiscal year shall be returned to the general revenue
fund. The Commission shall present its proposed
budget to the Governor and the Legislature on the
second day of each legislature session.
B. The Commissioners shall receive reimbursement
for travel, lodging, and meals while on official business
as provided for other officers of the State, but they
shall not be otherwise compensated.
C. The Commission may employ an executive
director and other staff, including attorneys, necessary
to fulfill its duties.
§ 3. Ethics Rules
Ethics Rules
A. After public hearing, the Ethics Commission shall
promulgate rules of ethical conduct for campaigns for
elective state office and for campaigns for initiatives
and referenda, including civil penalties for violation of
these rules.
B. After public hearing, the Ethics Commission shall
promulgate rules of ethical conduct for state officers
and employees, including civil penalties for violation of
these rules.
C. Newly promulgated rules shall be presented to
each House of the Legislature and to the Governor on
the second day of each session of the Legislature. If
these rules are not disapproved by joint resolution,
subject to veto by the Governor, during the same
legislative session, they shall be effective. In the event
the Governor vetoes a joint resolution disapproving any
Ethics Commission's rules, the procedure shall be the
same as for the veto of any other bill or joint resolution.
Effective Ethics Commission rules shall be published
in the official statutes of the State.
D. Effective Ethics Commission rules may be
repealed or modified by the Commission, and the
repeal or modification shall be submitted to the
Legislature and the Governor in the same manner as
newly promulgated rules. Effective Ethics Commission
rules may also be repealed or modified by law passed
by a majority vote of each House of the Legislature. If
the Governor vetoes such a law, the procedure shall
Art. 29 § 3 CONSTITUTION OF OKLAHOMA 2
O.S. 2001
be the same as for the veto of any other bill or joint
resolution.
§ 4. Investigation–Decision–Subpoena Power
Investigation–Decision–Subpoena Power
A. The Ethics Commission shall investigate and,
when it deems appropriate, prosecute in the District
Court of the County where the violation occurred
violations of its rules governing ethical conduct of
campaigns, state officers, and state employees.
Where uncertainty exists as to the County in which the
violation occurred, the Commission may prosecute in
any County in which the evidence indicates the
violation might have been committed. The Court may
assess penalties for violation of ethical standards
established by the Commission as provided in the
Commission's rules. The Commission may settle
investigations and accept payment of fines without
Court order. Fines paid shall be deposited in the
general revenue fund of the State.
B. The Commission shall also enforce other ethics
laws as prescribed by law.
C. For purposes of its investigations, the Ethics
Commission shall have subpoena power.
§ 5. Ethics Interpretations
Ethics Interpretations. The Ethics Commission may
respond, pursuant to its rules, to questions of specific
individuals seeking an interpretation of the
Commission's rules governing ethical conduct for
campaigns, state officers, or state employees. Any
such official interpretation of ethics rules shall be
binding on the Commission.
§ 6. Criminal Penalties
Criminal Penalties. This Article shall not prevent
enactment of laws prohibiting certain conduct by
political candidates, government officers, government
employees, or other persons and providing criminal
penalties for such conduct. It also shall not prevent
enactment of laws governing ethical conduct of local
political subdivision officers and employees, nor shall
it prevent enactment of law governing conditions of
state government employment.
§ 7. Removal
Removal. A Commissioner shall only be removed
from office pursuant to the provisions of Article VIII of
this Constitution.
Title 17 Oklahoma Statutes 1996, § 48
§ 48. Transportation, presents, or gratuities to
Corporation Commissioners or employees
prohibited–Exceptions
A. No person who is subject to the regulations of
the Corporation Commission, or has interests in any
firm, corporation or business which is subject to
regulation by the Corporation Commission shall furnish
transportation, presents, or gratuities other than as
provided by the Rules of the Ethics Commission to any
member of the Corporation Commission or any
employee thereof; provided, however, during a period
beginning one hundred twenty (120) days prior to a
primary election, through one hundred twenty (120)
days following the general election, any person may
make contributions not otherwise prohibited by the
Rules of the Ethics Commission to the cost of any
current candidate's political campaign. It shall be
unlawful for any such member or employee to
knowingly accept any such transportation, presents or
gratuities from any such person, firm or association.
B. A violation of the provisions of this section shall,
upon conviction, be punishable as a misdemeanor.
Title 5, Attorneys and State Bar
Code of Judicial Conduct
Canon 5. A judge or judicial candidate should
refrain from inappropriate political
activity
1. A. All Judges 1 and Candidates.
(1) Except as authorized herein a judge or a
candidate for election or appointment to judicial office
should not:
(a) act as a leader of or hold an office in
political organization;
(b) publicly endorse or publicly oppose another
candidate for public office;
(c) make speeches on behalf of a political
organization or candidate or publicly endorse a
candidate for public office; or
(d) solicit funds for, or pay an assessment to
or make a contribution to a political organization or
candidate, or purchase tickets for political party
dinners or other functions.
(2) A judge should resign from judicial office upon
becoming a candidate for a non-judicial office either in
a primary or in a general election, except that the judge
may continue to hold judicial office while being a
candidate for election to or serving as a delegate in a
3 ATTORNEYS AND STATE BAR 5, Ch. 1, App. 4
O.S. 2011 Code of Judicial Conduct Canon 5
state constitutional convention if the judge is otherwise
permitted by law to do so.
(3) A candidate for judicial office:
(a) should maintain the dignity appropriate to
judicial office and act in a manner consistent with
the integrity and independence of the judiciary, and
should encourage members of the candidate’s
family to adhere to the same standards of political
conduct in support of the candidate as apply to the
candidate;
(b) should prohibit employees and officials who
serve at the pleasure of the candidate, and should
discourage other employees and officials subject to
the candidate’s direction and control from doing on
the candidate’s behalf what the candidate is
prohibited from doing under the Sections of this
Canon;
(c) except to the extent permitted by Section
5C(2), should not authorize or knowingly permit any
other person to do for the candidate what the
candidate is prohibited from doing under the
Sections of this Canon;
(d) should not:
(i) with respect to cases, controversies, or
issues that are likely to come before the court,
make pledges, promises or commitments that
are inconsistent with impartial performance of
the adjudicative duties of the office, or
(ii) knowingly misrepresent the identity,
qualifications, present position or other fact
concerning the candidate or opponent;
(e) may respond to personal attacks or attacks
on the candidate’s record as long as the response
does not violate Section 5A(3)(d);
B. Candidates Seeking Appointment to
Judicial or Other Governmental Office.
(1) A candidate for appointment to judicial office
or a judge seeking other governmental office should
not solicit or accept funds, personally or through a
committee or otherwise, to support his or her
candidacy.
(2) A candidate for appointment to judicial office
or a judge seeking other governmental office should
not engage in any political activity to secure the
appointment except that:
(a)2 such persons may:
(i) communicate with the appointing
authority, including any selection or nominating
commission designated to screen candidates, or
members thereof;
(ii) seek support or endorsement for the
appointment from organizations that regularly
make recommendations for reappointment or
appointment to the office, and from individuals to
the extent requested or required by those
specified in Section 5B(2)(a); and
(iii) provide to those specified in Sections
5B(2)(a)(i) and 5B(2)(a)(ii) information
as to his or her qualifications for the
office.
C. Judges and Candidates Subject to Public
Election.
(1) A judge or candidate subject to public election
may, except as prohibited by law:
(a) speak to gatherings on his or her own
behalf;
(b) appear in newspaper, television and other
media advertisements supporting his or her
candidacy;
(c) distribute pamphlets and other promotional
campaign literature supporting his or her candidacy;
and
(d) publicly endorse or publicly oppose other
candidates for the same judicial office in a public
election in which the judge or judicial candidate is
running.
(2) A candidate should not personally solicit
campaign contributions or personally solicit publicly
stated support. A candidate may, however, establish
committees of responsible persons to conduct
campaigns for the candidate through media
advertisements, brochures, mailings, candidate forums
and other means not prohibited by law. Such
committees may solicit and accept reasonable
campaign contributions, manage the expenditure of
funds for the candidate’s campaign and obtain public
statements of support for his or her candidacy. Such
committees are not prohibited from soliciting and
accepting reasonable campaign contributions and
public support from lawyers. A candidate’s committees
may solicit and/or accept contributions and public
support for the candidate’s campaign no earlier than
90 days before an election filing period and no later
than 30 days after the last election in which the
candidate participates during the election year. A
candidate should not use or permit the use of
campaign contributions for the private benefit of the
candidate or others.
5, Ch. 1, App. 4 ATTORNEYS AND STATE BAR 4
Canon 5 Code of Judicial Conduct O.S. 2011
D. Incumbent Judges on Retention Ballot. An
incumbent judge or justice who is a candidate for
retention in or re-election to office without a competing
candidate, and whose candidacy has drawn active
opposition, may campaign in response thereto and
may obtain publicly stated support and campaign funds
in the manner provided herein.
E. Applicability. Canon 5 generally applies to
all incumbent judges and judicial candidates. A
successful candidate, whether or not an incumbent, is
subject to judicial discipline for his or her campaign
conduct; an unsuccessful candidate who is a lawyer is
subject to lawyer discipline for his or her campaign
conduct.
F. On October 5, 1998, and in all judicial
elections thereafter, within ten (10) days after formally
announcing and/or qualifying for election or re-election
to any judicial office in this state (whichever is earlier),
all candidates, including incumbent judges, shall
forward written notice of such candidacy, together with
an appropriate mailing address, to the Administrative
Director of the Courts. Upon receipt of such notice, the
Administrative Director shall cause to be distributed to
all such candidates by Registered Mail, Return Receipt
Requested, copies of the following: Canon 5 of the
Code of Judicial Conduct; summaries of all previous
Formal Advisory Opinions, if any, issued by the Judicial
Ethics Panel which relate in any way to campaign
conduct and practices; and a form acknowledgment
which each candidate shall promptly return to the
Administrative Director of the Courts and therein certify
that he/she has read and understands the material
forwarded and agrees to be bound by such standards
during the course of the campaign. A FAILURE TO
COMPLY W ITH THIS SECT ION SHAL L
CONSTITUTE A PER SE VIOLATION OF CANON 5.
Upon request, the documents executed by a candidate
for judicial election in accordance with this rule shall be
made available to General Counsel of the Oklahoma
Bar Association, the Panel on Judicial Elections, the
Council on Judicial Complaints, and the Oklahoma
Supreme Court.
Effective November 1, 1997. Amended by orders of Oct. 5, 1998;
Jan. 17, 2006, eff. March 6, 2006.
1. So in original.
2. So in original; there is no subparagraph (b).
Title 21 Oklahoma Statutes 2001
187. Definitions
187.1 Limitations on campaign contributions
187.2 Prohibition on corporate contributions to
candidate campaigns–Penalties
334. Contingent fees–Influencing legislation or
official action
360. Coercing political participation of state
employees
463. Offering forged or false instruments for
record
§ 187. Definitions
As used in Sections 1 through 3*of this act:
1. "Accept", with reference to a contribution,
means failure by a candidate, treasurer, deputy
treasurer or agent of a committee to expressly and
unconditionally reject and return a tendered
contribution to the contributor within six (6) business
days from receipt of the tender;
2. "Ballot measure" means an initiative,
referendum, legislative referendum, legislative
initiative, state question, or any proposition or measure
submitted to voters for their approval or rejection at a
statewide election;
3. "Campaign" means and includes all activities for
or against the election of a candidate to a specific state
office or local office for a specific term or the passage
or defeat of a ballot measure from the date of
acceptance of the first contribution, the making of the
first expenditure, or the filing of a declaration of
candidacy, whichever is first, until a final campaign
contributions and expenditures report is filed;
4. "Candidate" means a person who seeks
nomination or election to state or local office. An
individual is a candidate when the individual:
a. has filed a declaration of candidacy for any
state office with the Secretary of the State
Election Board;
b. has filed a declaration of candidacy for any
local office with the secretary of any county
election board,
c. has filed a declaration of candidacy with the
Secretary of State and has drawn active
opposition,
d. is nominated as a "substitute candidate"
pursuant to Section 1-105 of Title 26 of the
Oklahoma Statutes; or
e. solicits or accepts contributions, makes
expenditures or gives consent to an
individual, organization, party committee, or
other committee to solicit or accept
contributions or make expenditures to secure
election to any state office at any time,
whether or not the office for which the
individual will seek nomination or election is
known when the:
(1) solicitation is made,
(2) contribution is accepted, or
5 CRIMES AND PUNISHMENTS 21 § 187
O.S. 2011
(3) expenditure is made.
The term "candidate" shall include a person whose
candidacy is unopposed;
5. "Candidate committee" means the committee,
consisting of one or more persons who may be the
candidate only, designated by a candidate to promote
the candidate's candidacy and serve as the recipient of
all contributions and the disburser of all expenditures
for the candidate.
6. "Committee" means a candidate committee,
political action committee, or party committee;
7. a. "Contribution" means and includes:
(1) a gift, subscription, loan, guarantee or
forgiveness of a loan, conveyance,
advance, payment, distribution, or
deposit of money or anything of value
made to and with the knowledge and for
the benefit of a committee for use in a
campaign, or for reducing the debt of a
committee,
(2) an expenditure made by a person or
committee, other than a candidate
committee, with the cooperation of, or in
consultation with, a committee, a
candidate, candidate committee, or
candidate's agent or that is made in
concert with, or at the request or
suggestion of, a candidate, candidate
committee, or candidate's agent,
(3) the difference between the payment to
a person, other than a candidate or
committee, of compensation for
personal services or products to the
candidate or committee, and the
reasonable and customary rate charged
by the person for like services or
products in like quantities when the
candidate or committee has knowledge
of the discounted services or products,
(4) anything of value received by a
committee that is transferred from
another committee or other source,
(5) sums paid for tickets for a political event
such as a reception, rally, or a similar
fundraising event; however, the amount
of any such contribution may
be reduced for the purpose of
complying with the reporting and
contribution limitations requirements of
Section 2 of this act, * by the actual cost
of consumables furnished by the
committee in connection with the
purchase of the tickets, and only the
excess over the actual cost of the
consumables shall be deemed a
contribution,
(6) the candidate's own money used on
behalf of that candidate's candidacy;
and
(7) the difference between the open market
value and a discount or rebate:
(a) not extended to the public
generally, or
(b) by a television or radio station not
extended equally to all candidates
for the same office.
b. The term "contribution" shall not include:
(1) the value of services provided without
compensation by any individual who
volunteers on behalf of a candidate or
committee,
(2) for purposes of the contribution limits
set forth in Section 2* of this act, the
transfer of any funds by a political
action committee to another political
action committee, provided the
committees have been established as
provided by law and the transferring
committee and the receiving committee
have been established, directly or
indirectly, and are administered or
financially supported, directly or
indirectly, by a common entity,
(3) any payment or obligation incurred by a
corporation, labor organization,
membership organization, cooperative
or corporation without capital stock for
the establishment, administration, and
solicitation of contributions to a
separate segregated fund or political
action committee to be utilized for
political purposes,
(4) a nonreimbursed payment made by an
individual for the individual's own travel
expenses on behalf of a committee,
(5) a payment made by an occupant of a
residence or office for costs related
to a meeting or fundraising event held in
the occupant's residence or office if
the costs for the meeting or fundraising
event do not exceed Five Hundred
Dollars ($500.00). However, if the
occupant hosts more than one event in
an election cycle for the same
beneficiary, all subsequent payments
that exceed Five Hundred Dollars
21 § 187 CRIMES AND PUNISHMENTS 6
O.S. 2011
($500.00) in the aggregate are
contributions,
(6) a loan of money made in the ordinary
course of business by a financial
institution authorized to transact
business in this state at terms and
interest rates generally available to a
member of the public without regard to
that person's status as a state or local
officer or state or local employee or a
candidate for state or local office by the
institution,
(7) a communication by a corporation, labor
organization, or association aimed at its
members, owners, stockholders,
directors, executive administrative
personnel, or their families, or
(8) a tender of a contribution if the tender is
not accepted, including use as
collateral, or is transferred to the state
as provided in Rule 10-1-2 of the Rules
of the Ethics Commission, 74 O.S.
Supp. 1994, Chapter 62, App.;
8. "Expenditure" means a purchase, payment,
dis tribution, loan, advance, compensation,
reimbursement, fee deposit, transfer of funds between
committees, or a gift made by a committee. An
expenditure does not include the following:
a. a loan of money, made in the ordinary course of
business, by a financial institution authorized to
transact business in this state,
b. a communication by a corporation, labor
organization, or association aimed at its
members, owners, stockholders, executive
administrative personnel, or their families, except
a communication by the corporation's political
action committee promoting or opposing a
candidate or candidates,
c. uncompensated services provided by an
individual volunteering the individual's time, or
d. a transfer of funds to another committee if such
transfer is not accepted;
9. "Family" means an individual, his or her spouse,
if any, and all children under the age of eighteen (18)
years residing in the same household;
10. "Local office" means all elective offices for
which a declaration of candidacy is filed with the
secretary of any county election board;
11. "Party committee" means a political party or
any affiliated or connected entity;
12. "Person" means an individual, corporation,
association, proprietorship, firm, partnership, limited
partnership, joint venture, joint stock company,
syndicate, business trust, estate, trust, company,
organization, committee, or club, or a group of persons
who are voluntarily acting in concert;
13. "Political action committee":
a. means a combination of at least two
individuals, or a person other than an
individual:
(1) with the primary purpose of:
(a) supporting or opposing a
candidate or candidates, or a
party committee, except those
required to file with the Federal
Election Commission, or
(b) supporting or opposing a ballot
measure, and
(2) which accepts or gives contributions or
makes expenditures from a joint
account aggregating at least Five
Hundred Dollars ($500) during a
calendar year, and
b. does not include:
(1) a party committee or a candidate
committee,
(2) a person other than an individual, when
that person makes an expenditure or
expenditures from an account to which
contributions have not been solicited or
accepted from any other persons or
individuals; and the expenditure or
expenditures are required by law or by
Chapter 10 of the Rules of the Ethics
Commission to be reported by the
recipient committee or committees as a
contribution or contributions, and
(3) a combination of individuals, or a
person other than an individual, if the
combination of individuals, or a person
other than an individual, solicits
contributions on behalf of a committee,
and any contributions received as a
result of the solicitation are forwarded to
the committee without being deposited
in any account; and, the contributions
are required by law or by Chapter 10 of
the Rules of the Ethics Commission to
be reported by the committee that
receives the contributions;
14. "Political party" means any political party so
recognized for the purpose of having candidates
appear on the ballot; and
7 CRIMES AND PUNISHMENTS 21 § 187.2
O.S. 2001
15. "State office" means all elective offices for
which declarations of candidacy are filed with the
Secretary of the State Election Board.
*Section 187, 187.1 and 187.2 of Title 21 of the Oklahoma
Statutes.
§ 187.1. L i m i t a t i o n s o n c a m p a i g n
contributions
A. No person or family may contribute more than:
1. Five Thousand Dollars ($5,000.00) in any
calendar year to a committee other than a candidate
committee;
2. Five Thousand Dollars ($5,000.00) to a
candidate for state office, to a candidate for municipal
office in a municipality with a population of over two
hundred fifty thousand (250,000) persons, according to
the most recent Federal Decennial Census, to a
candidate for county office in a county with a
population of over two hundred fifty thousand
(250,000) persons, according to the most recent
Federal Decennial Census, or to a candidate
committee authorized by such a candidate to receive
contributions or make expenditures on his or her
behalf, for any campaign; or
3. One Thousand Dollars ($1,000.00) to a
candidate for other local office, or to a candidate
committee authorized by such a candidate to receive
contributions or make expenditures on his or her
behalf, for any campaign.
B. No candidate, candidate committee, or other
committee shall knowingly accept contributions in
excess of the amounts provided herein.
C. These restrictions shall not apply to a committee
supporting or opposing a ballot measure or local
question or to a candidate making a contribution of his
or her own funds to his or her own campaign.
D. It shall be prohibited for a campaign contribution
to be made to a particular candidate or committee
through an intermediary or conduit for the purpose of:
1. Evading requirements of effective Rules of the
Ethics Commission promulgated pursuant to Article
XXIX of the Oklahoma Constitution or laws relating to
the reporting of contributions and expenditures; or
2. Exceeding the contribution limitations imposed by
subsection A of this section.
Any person making a contribution in violation of this
subsection or serving as an intermediary or conduit for
such a contribution, upon conviction, shall be subject
to the penalties prescribed in subsections E and F of
this section.
E. Any person who knowingly and willfully violates
any provision of this section where the aggregate
amount contributed exceeds the contribution limitation
specified in subsection A of this section by Five
Thousand Dollars ($5,000.00) or more, upon
conviction, shall be guilty of a felony punishable by a
fine of up to four times the amount exceeding the
contribution limitation or by imprisonment in the State
Penitentiary for up to one (1) year, or by both such fine
and imprisonment.
F. Any person who knowingly and willfully violates
any provision of this section where the aggregate
amount contributed is less than Five Thousand Dollars
($5,000.00) in excess of the contribution limitation
specified in subsection A of this section, upon
conviction, shall be guilty of a misdemeanor punishable
by a fine of not more than three times the amount
exceeding the contribution limitation or One Thousand
Dollars ($1,000.00), whichever is greater, or by
imprisonment in the county jail for up to one (1) year,
or by both such fine and imprisonment.
G. No lobbyist or lobbyist principal as defined in
Section 4249 of Title 74 of the Oklahoma Statutes shall
make or promise to make a contribution to, or solicit or
promise to solicit a contribution for a member of the
Oklahoma Legislature or a candidate for a state
legislative office during any regular legislative session,
beginning the first Monday in February, through its
adjournment, and for five (5) calendar days following
sine die adjournment. A member of the Oklahoma
Legislature or a candidate for a state legislative office
shall not intentionally solicit or accept a contribution
from a lobbyist or lobbyist principal as defined in
Section 4249 of Title 74 of the Oklahoma Statutes
during any regular legislative session and for five (5)
calendar days after sine die adjournment. For the
purposes of this subsection, a candidate shall mean
any person who has filed a statement of organization
for a state legislative office pursuant to Oklahoma
Statutes, Title 74, Chapter 62 Appendix, Rule 257:10-
1-8.
H. Any person who knowingly and willfully violates
any provision of subsection G of this section, upon
conviction, shall be guilty of a misdemeanor punishable
by a fine of not more than One Thousand Dollars
($1,000.00), or by imprisonment in the county jail for up
to one (1) year, or by both such fine and imprisonment.
Amended Laws 2008 [Subsections G and H effective November
1, 2008].
§ 187.2. P r o h i b i t i o n o n c o r p o r a t e
contributions to candidate campaigns–Penalties
A. No corporation shall contribute to any campaign
fund of any party committee of this state or to any other
person for the benefit of such party committee or its
candidates, nor shall it, through any agent, officer,
representative, employee, attorney, or any other
person or persons, so contribute. Nor shall any such
corporation, directly or through such other person,
21 § 187.2 CRIMES AND PUNISHMENTS 8
O.S. 2001
make any loan of money or anything of value, or give
or furnish any privilege, favor or other thing of value to
any party committee, or to any representative of a party
committee, or to any other person for it, or to any
candidate upon the ticket of any political party.
B. A corporation shall not make a contribution or
expenditure to, or for the benefit of, a candidate or
committee in connection with an election, except that
this provision shall not apply to:
(1) A campaign or committee solely for or against
a ballot measure or local question; or
(2) The establishment, administration, and
solicitation of contributions to a political action
committee to be utilized for political purposes
by a corporation.
C. No candidate, candidate committee, or other
committee shall knowingly accept contributions given
in violation of the provisions of subsection A or B of
this section.
D. The provisions of this section shall not apply to a
bank, savings and loan association or credit union
loaning money to a candidate in connection with his or
her own campaign which is to be repaid with interest at
a rate comparable to that of loans for equivalent
amounts for other purposes.
E. Any person who knowingly and willfully violates
any provision of this section where the aggregate
amount contributed exceeds Five Thousand Dollars
($5,000.00), upon conviction, shall be guilty of a felony
punishable by a fine of up to four times the amount of
the prohibited contribution or by imprisonment in the
State Penitentiary for up to one (1) year, or by both
such fine and imprisonment.
F. Any person who knowingly and willfully violates
any provision of this section where the aggregate
amount contributed is Five Thousand Dollars
($5,000.00) or less, upon conviction, shall be guilty of
a misdemeanor punishable by a fine of not more than
three times the amount of the prohibited contribution or
One Thousand Dollars ($1,000.00), whichever is
greater, or by imprisonment in the county jail for up to
one (1) year, or by both such fine and imprisonment.
§ 334. Contingent fees–Influencing legislation
or official action
No person may retain or employ a lobbyist, as
defined in Section 6* of this act, for compensation
contingent in whole or in part on the passage or defeat
of any official action or the approval or veto of any
legislation, issuance of an executive order or approval
or denial of a pardon or parole by the Governor. No
lobbyist may accept any employment or render any
service for compensation contingent on the passage or
defeat of any legislation or the approval or veto of any
legislation by the Governor. Any person convicted of
violating the provisions of this section shall be guilty of
a felony punishable by a fine of not more than One
Thousand Dollars ($1,000.00) or by imprisonment in
the state penitentiary not exceeding two (2) years or by
both such fine and imprisonment.
*Section 4249 of Title 74 of the Oklahoma Statutes.
§ 360. Coercing political participation of state
employees
No public employee or public officer, as defined in
Section 304 of Title 51 of the Oklahoma Statutes, shall
directly or indirectly coerce, attempt to coerce,
command, advise or direct any state employee to pay,
lend or contribute any part of his or her salary or
compensation, time, effort or anything else of value to
any party, committee, organization, agency or person
for political purposes. No public employee or official
shall retaliate against any employee for exercising his
or her rights or for not participating in permitted political
activities as provided in Ethics Commission Rule 10-1-
4. Any person convicted of willfully 1 violating the
provisions of this section shall be guilty of a felony and
shall be punished by the imposition of a fine of not
more than Ten Thousand Dollars ($10,000.00) or by
imprisonment for not longer than two (2) years, or by
both said fine and imprisonment.
1Title 74, Ch. 62, App. 1, 257:10-1-4.
§ 463. Offering forged or false instruments for
record
Any person who knowingly procures or offers any
false or forged instrument to be filed, registered, or
recorded in any public office within this state, which
instrument, if genuine, might be filed or registered or
recorded under any law of this state or of the United
States, shall be guilty of a felony.
Title 68 Oklahoma Statutes 2001, § 2358.3
§ 2358.3. Income tax deduction for contribu-tions
A person who contributes money to a political party
or to a candidate or candidate committee shall be
entitled to deduct the amount contributed, not to
exceed One Hundred Dollars ($100.00) in any one tax
year, from the person's adjusted gross income in the
computation of Oklahoma income tax.
CHAPTER 62. – ETHICS COMMISSION ACT
Sections 4200 through 4219 and 4221 through
4248.1 have been repealed. Section 4220 has been
recodified at Section 1840 of Title 21 of the
Oklahoma Statutes.
9 STATE GOVERNMENT 74 § 4249
O.S. 2001
The following provisions became law per House Bill
1608, emergency effective July 1, 1995
4249. Definitions
4250. Lobbyists registrations–Termination
4251. Influencing legislation or official
action– Fraud
4252. Appearance on floor of Legislature
4253. Use of registration forms and activities
reports
4254. State officers or state employees–
Additional Compensation for lobbying
4255. Violations–Penalties–Third and subse-quent
violations
4256. Late fee assessments
4257. Employment of former members of
board or commission–Violations–
Penalties
4258. Revolving fund
4259. Committee registration
4260. Local candidates–Electronic reports
§ 4249. Definitions
As used in Sections 6 through 12* of this act:
1. "Lobbying", or any derivative of the word,
means any oral or written communication with a
member of the Legislature, with the Governor, with a
member of the Corporation Commission, with a
member of the judiciary or with an employee of the
Legislature, the Governor, the Corporation
Commission or the judiciary on behalf of a lobbyist
principal with regard to the passage, defeat,
formulation, modification, interpretation, amendment,
adoption, approval or veto of any legislation, rule,
regulation, executive order or any other program,
policy or position of the state government; provided,
however, it shall not mean testimony given before, or
submitted in writing to, a committee or subcommittee
of the Legislature, nor a speech, article, publication or
other material that is widely distributed, published in
newspapers, magazines or similar publications or
broadcast on radio or television; provided further, it
shall not mean representation of himself or herself or
a client by an attorney acting in a professional capacity
as an attorney who has entered an appearance in a
court proceeding or quasi-judicial proceeding or a
legislative or quasi-judicial proceeding before the
Corporation Commission;
2. "Lobbyist" means any individual who is
employed or retained by another for financial or other
compensation to perform services that include
lobbying, other than an individual whose lobbying
activities are only incidental to, and are not a significant
part of, the services provided by such individual to the
client, except the following individuals shall not be
considered lobbyists:
a. an individual appearing before a meeting of a
legislative body or executive agency who
receives no compensation for his or her
appearance other than reimbursement from the
state for expenses and who engages in no
further or other lobbying,
b. a public or federal official acting in his or her
official capacity,
c. a public employee acting on behalf of the
governmental entity by which he or she is
employed, and
d. any person exercising his or her constitutional
right to petition the government who is not
specifically required by the provisions of Sections
6 through 11* of this act to register as a lobbyist
and who receives no compensation or anything
of value for lobbying;
3. "Lobbyist principal" means any person who
employs or retains another person for financial or other
compensation to conduct lobbying activities on behalf
of the lobbyist principal; provided, however, it shall not
mean any individual members, partners, officers or
shareholders of a corporation, association, firm, joint
venture, joint stock company, syndicate, business
trust, estate, trust, company, partnership, limited
partnership, organization, committee, or club, or a
group of persons who are voluntarily acting in concert;
4. "Public member" means a member appointed
to a compensated or uncompensated part-time
position on a board, commission, council, authority,
bureau, committee, state beneficial public trust, or
other establishment of the executive, legislative or
judicial branch of the State of Oklahoma. A public
member shall not lose his status by receiving
reimbursement of expenses or a per diem payment for
services. A public member shall not include:
a. members of advisory bodies to the legislative,
executive, or judicial branch of state government,
b. Postadjudication Review Board members
appointed pursuant to Section 1116.2 of Title 10
of the Oklahoma Statutes,
c. board members of guaranty associations created
pursuant to state statute, and
d. precinct inspectors, judges, clerks and counters;
5. "State employee" means:
a. an elective or appointed officer or an employee
of any state governmental entity, except
members of the House of Representatives or
State Senate; and
74 § 4249 STATE GOVERNMENT 10
O.S. 2001 & O.S. 2011
b. an employee, other than an adjunct professor, in
the service of an institution of higher education
comprising The Oklahoma State System of
Higher Education.
The term "state employee" shall not include a public
member; and
6. "State officer" means an elective, appointed or
employed officer, including a public member, in the
executive, judicial or legislative branch of the State of
Oklahoma.
*Sections 4249 through 4255 of Title 74 of the Oklahoma
Statutes.
**Sections 4249 through 4254 of Title 74 of the Oklahoma
Statutes.
§ 4250. Lobbyist registration–Termination
A. Every lobbyist shall be required to register with
the Ethics Commission no later than December 31 of
each year or within five (5) days after engaging in
lobbying on behalf of one or more lobbyist principals,
and pay a registration fee of One Hundred Dollars
($100.00). All monies collected from this registration
fee shall be deposited with the State Treasurer to the
credit of the Ethics Commission Fund.
B. Information contained on the lobbyist registration
form shall be limited to the following:
1. The lobbyist's name and business address and
telephone number;
2. The name and address of each lobbyist principal
by whom the lobbyist is employed or retained; and
3. The date of the registration.
All registrations filed under this section shall be
certified.
C. The registration of each lobbyist shall expire on
December 31 of each year unless the annual
registration fee as set forth in subsection A of this
section is paid. The registration fee shall be payable
from December 1 through 31 of each year. A lobbyist
expenditure report shall be due at this time if such
report was not filed for the previous reporting period.
If the lobbyist was previously unregistered, then the fee
is due within five (5) days after engaging in lobbying.
The provisions of this section must be complied with
before the Ethics Commission can renew a lobbying
registration.
D. Every lobbyist shall file a supplemental
registration indicating any change in the information
contained in the registration within twenty (20) days
after the date of the change. A person who ceases to
engage in lobbying shall file a written, verified
statement with the Ethics Commission acknowledging
the termination of activities. The notice shall be
effective immediately upon filing.
E. All registrations filed under this section shall be
public records and shall be made available for public
inspection pursuant to the Open Records Act.
F. The Ethics Commission shall maintain
registrations in a separate, alphabetical file and make
such registrations available to the public for inspection.
G. A person who files a notice of termination
pursuant to the provisions of subsection D of this
section shall file the reports required pursuant to the
Rules of the Ethics Commission for any reporting
period during which the person was registered at the
time the notice of termination is effective.
Amended Laws 2004 [Effective November 1, 2004].
§ 4251. Influencing legislation or official action–
Fraud
No person required to be registered under Section
6* of this act may:
1. Knowingly or willfully make any false statement
or representation of the facts to a member of the
legislative branch, judicial branch or executive branch;
or
2. Knowing a document to contain a false
statement, cause a copy of the document to be
received by a member of the legislative branch, judicial
branch or executive branch without notifying such
member in writing of the truth.
*Section 4249 of Title 74 of the Oklahoma Statutes.
§ 4252. Appearance on floor of Legislature
No lobbyist may go on the floor of either house of
the Legislature while that house is in session, except
on invitation of that house.
§ 4253. Use of registration forms and activities
reports
No information copied from registration forms
required by Section 7* of this act or from lists compiled
from such forms and reports shall be sold or utilized by
any person for the purpose of soliciting campaign
contributions or selling tickets to a testimonial or similar
fund-raising affair or for any commercial purpose.
*Section 4250 of Title 74 of the Oklahoma Statutes.
§ 4254. State officers or state employees–
Additional compensation for lobbying
No state officer or state employee shall receive any
additional compensation or reimbursement from any
person for personally engaging in lobbying, other than
compensation or reimbursements provided by law for
that member's job position.
11 STATE GOVERNMENT 74 § 4257
O.S. 2001 & O.S. 2011
§ 4255. Violations–Penalties–Third and subse-quent
violations
A. Any person who knowingly and willfully violates
any provision of Sections 5 through 11* of this act or
Chapter 23 of the Rules of the Ethics Commission
commits a misdemeanor. Nothing in Sections 5
through 11** of this act relieves a person of criminal
responsibility under the laws of this state relating to
perjury.
B. Any person who knowingly and willfully violates
any provision of Sections 5 through 11*** of this act or
any provision of Chapter 23 of the Rules of the Ethics
Commission a third and subsequent time, in addition
to any other penalties provided herein, shall be
prohibited from further lobbying as defined herein for a
period of five (5) years. If any person having been so
prohibited, lobbies while prohibited, such person shall
be permanently prohibited from lobbying and shall be
guilty of a felony.
*Section 360 of Title 21 and Sections 4249 through 4254 of Title
74 of the Oklahoma Statutes.
**Section 360 of Title 21 and Sections 4249 through 4254 of Title
74 of the Oklahoma Statutes.
***Section 360 of Title 21 and Sections 4249 through 4254 of
Title 74 of the Oklahoma Statutes.
§ 4256. Late fee assessments
A. Every candidate or candidate committee for state
or county office and every other committee failing to
file registrations and reports of contributions and
expenditures or statements of inactivity on or before
the days specified in Chapter 10 of the Rules of the
Ethics Commission shall be assessed by the Ethics
Commission a late filing fee of up to One Hundred
Dollars ($100.00) for each day after a report of
contributions and expenditures is due that said report
remains unfiled; provided, the total amount of such
fees assessed per report shall not exceed One
Thousand Dollars ($1,000.00).
B. Committees campaigning for or against an
initiative or referendum petition, legislative referendum,
or a state question who fail to file reports of
contributions and expenditures on or before the days
specified in Chapter 10 of the Rules of the Ethics
Commission shall be assessed by the Ethics
Commission a late filing fee of up to One Thousand
Dollars ($1,000.00) for each day after a report of
contributions and expenditures is due that said report
remains unfiled; provided, the total amount of such fee
assessed per report filing shall not exceed Ten
Thousand Dollars ($10,000.00).
C. Every person failing to file a statement of
financial interests or financial disclosure statement on
or before the days specified in Chapter 15 of the Rules
of the Ethics Commission shall be assessed by the
Ethics Commission a late filing fee of up to One
Hundred Dollars ($100.00) for each day the statement
remains unfiled; provided, the total amount of such
fees assessed per statement shall not exceed One
Thousand Dollars ($1,000.00).
D. The treasurer, except for treasurers for
candidates or candidate committees, may be liable for
the late fee. Failure to file a registration, report or
statement shall be deemed to be a separate offense
for each day that the registration, report or statement
remains unfiled after it becomes due. The first
Twenty-five Thousand Dollars ($25,000.00) per
calendar year derived from fees collected pursuant to
the provisions of this section shall be deposited with
the State Treasurer to the credit of the Ethics
Commission Fund and any amount in excess of
Twenty-five Thousand Dollars ($25,000.00) per
calendar year shall be deposited in the General
Revenue Fund. Candidates or candidate committees
shall not pay such fees from campaign funds.
Amended Laws 2004 [Effective November 1, 2004]. Amended
Laws 2010, House Bill 2408, § 2, emerg. eff. July 1, 2010.
§ 4257. Employment of former members of
board or commission–Violations–Penalties
A. Except as otherwise provided for by this section,
no state board or commission shall employ any former
member of the board or commission.
B. A state board or commission may employ a
former member of the board or commission if at least
one (1) year has passed since the term of office of the
former member has expired or since the date the
former member resigned from the board or
commission.
C. Notwithstanding subsection B of this section, a
state board or commission may employ:
1. A state employee who is an ex officio member of
that board or commission and who is required by law
to be a member of that board or commission; or
2. A former statewide elected official who was an ex
officio member of that board or commission if the
former statewide elected official completed the term in
office. This subsection shall not apply to a statewide
elected official who is an ex officio member of a board
or commission.
D. Any person who willfully violates any provision of
this section shall be guilty of a misdemeanor and upon
conviction thereof shall be punished by a fine of not
less than Fifty Dollars ($50.00) nor more than One
Thousand Dollars ($1,000.00), or by imprisonment for
not longer than six (6) months or by both such fine and
imprisonment, and upon conviction shall be ineligible
for appointment to or employment in a position in state
service and, if at the time of conviction is an employee
of the state, the employee shall forfeit the position.
74 § 4258 STATE GOVERNMENT 12
O.S. 2011
Amended Laws 2004 [Effective June 8, 2004].
§ 4258. Revolving fund
There is hereby created in the State Treasury a
revolving fund for the Ethics Commission to be
designated the "Ethics Commission Fund". The fund
shall be a continuing fund, not subject to fiscal year
limitations and shall consist of all copying fees, lobbyist
registration fees, and committee registration fees
received by the Commission. All monies accruing to
the credit of the fund are hereby appropriated and may
be budgeted and expended by the Commission for any
expenses incurred in the implementation of this act.1
Expenditures from the fund shall be made upon
warrants issued by the State Treasurer against claims
filed as prescribed by law with the Director of State
Finance for approval and payment.
Amended Laws 2004 [Effective June 8, 2004].
§ 4259. Committee registration
A. As used in this section, “committee” means a
political action committee or a party committee as
defined in the rules of the Ethics Commission.
Committee shall not include a candidate committee as
defined in the rules of the Ethics Commission.
B. Any committee which accepts contributions or
makes expenditures in excess of Five Hundred Dollars
($500.00) in the aggregate in this state in a calendar
year shall file a statement of organization with the
Ethics Commission no later than five (5) days after
accepting such contributions or making such
expenditures. Each statement of organization shall be
accompanied by a registration fee in the amount of
Fifty Dollars ($50.00).
C. A new statement of organization shall be filed by
a committee each year the committee continues its
registration. Such statements shall be filed between
January 1 and January 31 of each year and shall be
accompanied by the registration fee as set forth in
subsection B of this section. The registration fee shall
be received no later than January 31 of each year.
D. Any campaign contribution and expenditure
reports required to be filed by the rules of the Ethics
Commission and which may not have been filed for the
previous calendar year shall be filed by the committee
at the same time the registration fee is paid. The
Commission may not renew a registration until the
committee is in compliance with the provisions of this
section. A previously registered committee shall not
accept contributions or make expenditures until such
committee is in compliance with the provisions of this
section.
Amended Laws 2004 [Effective November 1, 2004].
§ 4260. Local candidates–Electronic reports
All candidates allowed to receive the maximum
contribution of Five Thousand Dollars ($5,000.00),
pursuant to paragraph 2 of subsection A of Section
187.1 of Title 21 of the Oklahoma Statutes, shall file a
campaign contributions and expenditures report
electronically with the Ethics Commission. The Ethics
Commission shall make the report available online.
The Ethics Commission shall consult with the Office of
State Finance regarding an information technology
services contract to comply with this section.
Added Laws 2011 [Effective November 1, 2011].
13 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2
CHAPTER 62. – APPENDIX
TITLE 257. ETHICS COMMISSION
Chapter Section
1. Administrative Operations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:1-1-1
10. Campaign Reporting.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:10-1-1
15. Personal Financial Disclosure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:15-1-1
20. Ethics and Conflicts of Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:20-1-1
23. Lobbying Disclosure.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257:23-1-1
25. RESERVED
30. Investigations, Complaints, Settlements and Litigation. . . . . . . . . . . . . . . . 257:30-1-1
CHAPTER 1.
ADMINISTRATIVE OPERATIONS
Section
257:1-1-1. General purpose and authority
257:1-1-2. Definitions
257:1-1-3. Office and hours–Filing requirements
257:1-1-4. Prohibited acts
257:1-1-5. Conflicts of interest
257:1-1-6. Powers and responsibilities of
Commission
257:1-1-7. Forms and publications
257:1-1-8. Availability of documents
257:1-1-9. Request for ethics interpretation
257:1-1-10. Request for rule adoption,
amendment or repeal
257:1-1-11. Miscellaneous civil penalty provisions
257:1-1-12. Disclosure of confidential information
257:1-1-13. Effective date of this chapter
257:1-1-14. Applicability of rules
257:1-1-1. General purpose and authority
(a) Intent. The Ethics Commission was instituted as
the statutory administrator of the Ethics Commission
Act, Section 4200 et seq. of Title 74 of the Oklahoma
Statutes. It retains these powers and others, as
enumerated herein. As a statement of its general
purpose and authority, the Ethics Commission finds:
(1) That the Commission is to promulgate rules of
ethical conduct for campaigns for elective state
office and for campaigns for initiative and
referendum and rules of ethical conduct for state
officers and state employees;
(2) That the central function of this title is to
prevent, rather than punish, unethical conduct. The
Commission shall publish and make available to the
public and to persons subject to this title
explanatory information concerning this title, the
duties imposed by it and the means of enforcing it.
It shall also be the goal of the Commission to initiate
and continue programs for the purpose of educating
officers, employees, and citizens of this state on
matters of ethics and government service.
(b) Administration of title. The Ethics
Commission, created in Section 1 of Article XXIX of
the Oklahoma Constitution, shall administer this title
with respect to campaigns for elective state office, for
campaigns for initiatives and referenda and for state
officers and state employees elected, appointed, or
employed to serve in state government.
(c) Powers and duties. The powers and duties of
the Ethics Commission are set forth in Section 3 of
Article XXIX of the Oklahoma Constitution and the
Ethics Commission Act, Section 4200 et seq. of Title
74 of the Oklahoma Statutes.
(d) Rules. In keeping with its authority and purpose,
the Ethics Commission has promulgated rules to
implement Section 3 of Article XXIX of the Oklahoma
Constitution.
Amended Laws 2009.
257:1-1-2. Definitions
Masculine words, whenever used in this title, shall
include the feminine and neuter, and the singular
includes the plural, unless otherwise specified. In
addition, the following words or terms, when used in
this title, shall have the following meaning, unless the
context clearly indicates otherwise:
"Accept", with reference to a contribution, means
failure by a candidate, treasurer, deputy treasurer or
agent of a committee to expressly and unconditionally
reject and return a tendered contribution to the
contributor within six (6) business days from receipt of
the tender.
"Act" means the Ethics Commission Act, Section
4200 et seq. of Title 74 of the Oklahoma Statutes.
"Address" means mailing address unless
otherwise specified in this title.
"Affiliated" or "Connected entity" means any
entity which directly or indirectly establishes,
administers or financially supports a political entity.
74, Ch. 62, App. STATE GOVERNMENT 14
257:1-1-2 ETHICS COMMISSION RULES O.S. 2011
"Anything of value", "Thing of value" or "Things
of value"
(1) These terms, to the extent that consideration
of equal or greater value is not received, include the
following:
(A) a pecuniary item, including money, or a
bank bill or note;
(B) a promissory note, bill of exchange, order,
draft, warrant, check, or bond given for the
payment of money;
(C) a contract, agreement, promise, or other
obligation for an advance, conveyance,
forgivenes s of indebtedness, deposit,
distribution, loan, payment, gift, pledge, or
transfer of money;
(D) a stock, bond, note, or other investment
interest in an entity;
(E) a receipt given for the payment of money
or other property;
(F) a right in action;
(G) a gift, tangible good, chattel, or an interest
in a gift, tangible good, or chattel, except as
provided in subparagraphs (C), (D) and (N) of
Paragraph (2) of this definition;
(H) a loan or forgiveness of indebtedness,
except as otherwise provided in subparagraph (I)
of Paragraph (2) of this definition;
(I) a work of art, antique, or collectible;
(J) an automobile or other means of personal
transportation;
(K) real property or an interest in real property,
including title to realty, a fee simple or partial
interest, present or future, contingent or vested
in realty, a leasehold interest, or other beneficial
interest in realty;
(L) an honorarium or compensation for
services, except as otherwise provided in
subparagraph (M) of Paragraph (2) of this
definition;
(M) a rebate or discount in the price of anything
of value or the sale or trade of something for
reasonable compensation that would ordinarily
not be available to a member of the public,
except as provided in subparagraph (J) of
Paragraph (2) of this definition;
(N) a promise or offer of employment;
(O) transportation, lodging or entertainment; or
(P) any other thing of value not excluded by
Paragraph (2) of this definition.
(2) These terms do not include:
(A) a campaign contribution properly received
and reported;
(B) any books, written materials, audio tapes,
videotapes, or other informational promotional
material related to the performance of a state
officer's or state employee's official duties;
(C) a gift that:
(i) is not used, and
(ii) no later than thirty (30) days after
receipt, is returned to the donor or delivered
to a charitable organization and is not claimed
as a charitable contribution for federal income
tax purposes;
(D) a gift, devise, or inheritance from an
individual's spouse, child, step-child, parent,
step-parent, grandparent, step-grandparent,
sibling, step-sibling, parent-in-law, sibling-in-law,
nephew, niece, aunt, uncle, or first cousin or the
spouse of that individual, if the donor is not
acting as the agent or intermediary for someone
other than a person covered by this
subparagraph;
(E) a plaque or trophy with a value that does
not exceed two hundred dollars ($200);
(F) modest items of food and refreshments,
such as soft drinks, coffee, and donuts, offered
other than as part of a meal;
(G) food and beverage consumed on the
occasion when participating in a charitable, civic,
or community event, or at any event to which all
members of the Legislature are invited, which
bears a relationship to the state officer's or state
employee's office and the officer or employee is
attending in an official capacity;
(H) greeting cards and items with little intrinsic
value, such as certificates, which are intended
solely for presentation;
(I) loans from banks and other financial
institutions on terms generally available to the
public;
(J) opportunities and benefits, including
favorable rates and commercial discounts,
available to the public or to a class consisting of
all state government employees, whether or not
restricted on the basis of geographic
consideration;
(K) rewards and prizes given to competitors in
contests or events, including random drawings,
which are open to the public; rewards and prizes
from contests or events which are not open to
the public are also excepted if the state officer's
or state employee's entry into the contest is
required as part of his official duties;
(L) pension and other benefits resulting from
participation in a retirement plan offered by an
employer or former employer of a state officer or
state employee;
(M) anything which is paid for by the state
government or secured by the state government
under state government contract;
(N) any gift accepted on behalf of the state of
Oklahoma or a governmental entity by the
Governor under Section 381 et seq. of Title 60 of
the Oklahoma Statutes. In order to be deemed
accepted, the Governor must be notified in
writing of any gift received by a governmental
15 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2
entity, or person on behalf of a governmental
entity, within ten (10) days of receipt of the gift.
Notice of acceptance must be received from the
Governor within the next thirty (30) days. Upon
lack of a response from the Governor within the
thirty (30) days of receipt of the notice, the gift is
deemed rejected and must be returned to the
donor;
(O) anything for which market value is paid or
secured by written contract to be paid by the
state officer or state employee no later than 30
days of receipt;
(P) transportation furnished to a state officer or
state employee for the purpose of assisting the
officer or employee in the performance of the
officer's or employee's official duties and from
which the officer or employee receives only
incidental personal benefits ancillary to said
purpose;
(Q) food, transportation or entertainment
provided by a governmental agency or
governmental enterprise of a foreign nation as a
gesture of hospitality;
(R) prescription drugs or similar items given to
the recipient for distribution to patients in need of
treatment which are not used by the recipient;
(S) a meal or other food served at a meeting at
which the state officer or state employee is an
invited guest; and
(T) any gratuity provided at a meeting,
conference, or seminar by sponsors, exhibitors,
etc., the cost of which is not borne by a registrant
to such meeting, conference, or seminar, and
which is available to all registrants; and
(U) any single item with a fair market value not
exceeding Ten Dollars ($10.00) provided to a
state officer or state employee during a calendar
year; provided, if a donor provides more than
one such item to a state officer or state
employee during a calendar year, any such
additional items shall not be subject to this
exception; and
(V) a ticket to the Speaker’s Ball.
"Associated", when used with reference to an
entity, includes an entity in which an individual or a
member of his or her immediate family is a director,
officer, fiduciary, trustee, agent, or partner, or owns or
controls, in the aggregate, at least two percent (2%) or
a value of five thousand dollars ($5,000) of the
outstanding equity.
"Ballot measure" means an initiative, referendum,
legislative referendum, legislative initiative, state
question, or any proposition or measure submitted to
voters for their approval or rejection at a statewide
election.
"Business" means any corporation, limited liability
company, partnership, limited liability partnership,
limited partnership, sole proprietorship, firm,
enterprise, franchise, association, self-employed
individual, holding company, joint stock company,
receivership, trust, or any legal entity through which
business is conducted for profit.
"Business day" means any day except a Saturday,
Sunday or a legal holiday designated in Section 82.1 of
Title 25 of the Oklahoma Statutes.
"Campaign" means and includes all activities for or
against the election of a candidate to a specific state
office for a specific term or the passage or defeat of a
ballot measure from the date of acceptance of the first
contribution, the making of the first expenditure, or the
filing of a declaration of candidacy, whichever is first,
until a final campaign contributions and expenditures
report is filed.
"Campaign expenditure" is an expenditure not
otherwise prohibited which is used to defray the costs
of a candidate's campaign including, without limitation,
advertising, travel and food while campaigning, and
costs for campaign workers, whether paid or
volunteers.
"Candidate" means a person who seeks
nomination or election to state office. An individual is
a candidate when the individual:
(1) has filed a declaration of candidacy for any
state office with the Secretary of the State Election
Board;
(2) has filed a declaration of candidacy with the
Secretary of State and has drawn active opposition;
(3) is nominated as a "substitute candidate"
pursuant to Section 1-105 of Title 26 of the
Oklahoma Statutes; or
(4) solicits or accepts contributions, makes
expenditures or gives consent to an individual,
organization, party committee, or other committee
to solicit or accept contributions or make
expenditures to secure election to any state office at
any time, whether or not the office for which the
individual will seek nomination or election is known
when the:
(A) solicitation is made;
(B) contribution is accepted; or
(C) expenditure is made.
The term "candidate" shall include a person whose
candidacy is unopposed.
"Candidate committee" means the committee,
consisting of one or more persons who may be the
candidate only, designated by a candidate to promote
the candidate's candidacy and serve as the recipient of
all contributions and the disburser of all expenditures
for the candidate.
"Charitable organization" means an entity
described in 501 (c) (3) of Title 26 of the United States
Code, 26 U.S.C., Section 501 (c) (3), as it currently
exists or as it may be amended.
"Classified employee" means a state employee or
a state employee on leave from employment who is
under the jurisdiction of the Merit System of Personnel
74, Ch. 62, App. STATE GOVERNMENT 16
257:1-1-2 ETHICS COMMISSION RULES O.S. 2011
Administration as provided in the Oklahoma Personnel
Act, Section 840.1 et seq. of Title 74 of the Oklahoma
Statutes.
“Clearly identified” means the candidate’s name,
nickname, photograph or drawing appears, or the
identity of the candidate is otherwise apparent
including, but not limited to, an unambiguous reference
such as “the Governor,” “your State Representative,”
or “the incumbent,” or including, but not limited to, an
unambiguous reference to his or her status as a
candidate such as “the Democratic gubernatorial
nominee” or “the Republican candidate for State
Senate District No. 49 in Oklahoma”.
"Commission" means the Ethics Commission.
"Committee" means a candidate committee,
political action committee, or party committee.
"Compensation"
(1) means:
(A) an advance, conveyance, forgiveness of
indebtedness, deposit, distribution, loan,
payment, pledge, or transfer of money or
anything of value; or
(B) a contract, agreement, promise, or other
obligation for an advance, conveyance,
forgivenes s of indebtedness, deposit,
distribution, loan, payment, pledge, or transfer of
money or anything of value,
for services rendered or to be rendered.
(2) The term does not include reimbursement of
expenses:
(A) if the reimbursement:
(i) does not exceed the amount expended
for the expenses; and
(ii) is substantiated by an itemization of
expenses; or
(B) if the reimbursement is authorized by law.
“Congressional district” means a territorial
division of the state of Oklahoma entitled to elect one
member to the United States House of
Representatives,
"Contribution"
(1) means and includes:
(A) a gift, subscription, loan, guarantee or
forgiveness of a loan, conveyance, advance,
payment, distribution, or deposit of money or
anything of value made to and with the
knowledge and for the benefit of a committee,
which expressly advocates the election or defeat
of a clearly identified candidate or candidates or
the passage or defeat of a ballot measure or
ballot measures, or for reducing the debt of such
committee;
(B) an expenditure expressly advocating the
election or defeat of a clearly identified candidate
or candidates or the passage or defeat of a ballot
measure or ballot measures made by a person
or committee, other than a candidate committee,
with the cooperation of, or in consultation with, a
committee, a candidate, candidate committee, or
candidate's agent or that is made in concert with,
or at the request or suggestion of, a candidate,
candidate committee, or candidate's agent;
(C) the difference between the payment to a
person, other than a candidate or committee, of
compensation for personal services or products
to the candidate or committee, and the
reasonable and customary rate charged by the
person for like services or products in like
quantities when the candidate or committee has
knowledge of the discounted services or
products;
(D) anything of value received by a committee
that is transferred from another committee or
other source;
(E) sums paid for tickets for a political event
such as a reception, rally, or a similar fundraising
event; however, the amount of any such
contribution may be reduced for the purpose of
complying with the reporting and contribution
limitations requirements of Chapter 10 of this
title, by the actual cost of consumables furnished
by the committee in connection with the
purchase of the tickets, and only the excess over
the actual cost of the consumables shall be
deemed a contribution;
(F) the candidate's own money used on behalf
of that candidate's candidacy; and
(G) the difference between the open market
value and a discount or rebate:
(i) not extended to the public generally; or
(ii) by a television or radio station not
extended equally to all candidates for the
same office.
(2) The term "contribution" shall not include:
(A) the value of services provided without
compensation by any individual who volunteers
on behalf of a candidate or committee;
(B) for purposes of the contribution limits set
forth in Section 2 of Chapter 10, the transfer of
any funds by a political action committee to an
affiliated or connected political action committee
or by a party committee to an affiliated or
connected party committee, provided the
committees have been established as provided
by law and the transferring committee and the
receiving committee have been established,
directly or indirectly, and are administered or
financially supported, directly or indirectly, by a
common entity; or
(C) any payment or obligation incurred by a
corporation, labor organization, membership
organization, cooperative or corporation without
capital s toc k for the es tablishment,
administration, and solicitation of contributions to
a separate segregated fund or political action
committee to be utilized for political purposes;
17 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2
(D) a nonreimbursed payment made by an
individual for the individual's own travel expenses
on behalf of a committee;
(E) a payment made by an occupant of a
residence or office for costs related to a meeting
or fundraising event held in the occupant's
residence or office if the costs for the meeting or
fundraising event do not exceed five hundred
dollars ($500). However, if the occupant hosts
more than one (1) event in an election cycle for
the same beneficiary, all subsequent payments
that exceed five hundred dollars ($500) in the
aggregate are contributions;
(F) a loan of money made in the ordinary
course of business by a financial institution
authorized to transact business in this state at
terms and interest rates generally available to a
member of the public without regard to that
person's status as a state officer or state
employee or a candidate for state office by the
institution;
(G) a communication by a corporation, labor
organization, or association aimed at its
employees, members, owners, stockholders,
directors, executive administrative personnel, or
their families;
(H) a tender of a contribution if the tender is
not accepted, including use as collateral, or
is transferred to the state as provided in
Subsection (i) of Section 2 of Chapter 10 of this
title;
(I) the fair market value earnings of a sole
proprietorship, partnership, limited partnership,
limited liability partnership, or limited liability
company; or
(J) a communication which does not expressly
advocate the election or defeat of a clearly
identified candidate or candidates or the
passage or defeat of a ballot measure or ballot
measures.
(3) If any person makes, or contracts to make,
any disbursement for any electioneering
communication as defined in this section; and such
disbursement is coordinated with a:
(A) candidate or authorized committee of such
candidate, or agent or official of any such
candidate, such disbursement or contracting
shall be treated as a contribution to the
candidate supported by the electioneering
communication and as an expenditure by that
candidate committee;
(B) state or local political party or committee
thereof, or agent or official of such political party,
such disbursement or contracting shall be
treated as a contribution to the political party of
the candidate or candidates supported by the
electioneering communication and as an
expenditure by that candidate’s or candidates’
party; or
(C) ballot measure committee, or an agent or
official of any such ballot measure committee;
such disbursement or contracting shall be
treated as a contribution to the ballot measure
committee supported by the electioneering
communication and as an expenditure by that
ballot measure committee.
"Contributor" means and includes every person
who makes a contribution.
"Day" means calendar day, except that in instances
where a report or other document is required to be filed
with the Commission and the calendar day upon which
such a report or document must be filed falls on a day
other than a business day, any such report or
document may be filed on the immediate next
business day.
“Economic interest��� means a personal financial
interest in a state purchase, sale, lease, contract,
option, or other transaction or arrangement involving
property or services when the person who has the
economic interest is taking action to influence the state
purchase, sale, lease, contract, option, or other
transaction or arrangement involving property or
services.
"Election" means a Primary, Run-off Primary,
General, or Special Election in which a candidate or
ballot measure is on the ballot.
"Election board" means the State Election Board
in reference to candidates who file a declaration of
candidacy with the State Election Board.
"Election cycle" means the period beginning the
day after the General Election, up to and including the
following General Election, including a Primary, Special
Primary and the following Special General Election.
“Electioneering communication”
(1) means any communication or series of
communications that is sent by handbill or direct
mail; broadcast by radio, television, cable or
satellite; or appear in a newspaper, magazine or on
a billboard which –
(A) refer to one candidate or one or more of
the same clearly identified candidates for state
office or one ballot measure or one or more of
the same ballot measures;
(B) are made within –
(i) 60 days before a general or special
election for the office sought by the candidate
or candidates or the ballot measure or ballot
measures; or
(ii) 30 days before a primary or runoff
primary election for the office sought by the
candidate or candidates; and
(C) are targeted to the relevant electorate;
(2) does not mean –
(A) a communication or series of
communications appearing in a news story,
74, Ch. 62, App. STATE GOVERNMENT 18
257:1-1-2 ETHICS COMMISSION RULES O.S. 2011
commentary, or editorial distributed through the
facilities of any broadcasting station, newspaper,
magazine, or other periodical publication, unless
such facilities are owned or controlled by any
political party, political action committee,
candidate, candidate committee or ballot
measure committee;
(B) a communication or series of
communications which constitute an expenditure
or an independent expenditure under this
chapter; or
(C) a communication or series of
communications which constitute a candidate
debate or forum or which solely promotes such
a debate or forum and is made by or on behalf of
the person sponsoring the debate or forum;
(3) For purposes of this definition, a
communication or series of communications which
refer to one or more clearly identified candidates for
state office or one or more ballot measures are
‘targeted to the relevant electorate’ if the
communication or series of communications have
been or can be received by –
(A) 2,500 or more persons in the district the
candidate seeks to represent in the case of a
candidate for the Oklahoma State House of
Representatives;
(B) 5,000 or more in the district the candidate
seeks to represent in the case of a candidate for
district attorney, district judge, associate district
judge, or the Oklahoma State Senate; or
(C) 25,000 or more persons in the State of
Oklahoma in the case of a candidate for a
statewide elective office or ballot measure.
"Elective officer" means an individual elected to a
state office or an individual who is appointed to fill a
vacancy in a state office.
"Expenditure":
(1) means a purchase, payment, distribution,
loan, advance, compensation, reimbursement, fee
deposit, transfer of funds between committees, or
a gift made by a committee which is used to
expressly advocate the election or defeat of a
clearly identified candidate or candidates or the
passage or defeat of a ballot measure or ballot
measures.
(2) An expenditure does not include the following:
(A) a loan of money, made in the ordinary
course of business, by a financial institution
authorized to transact business in this state;
(B) a communication by a corporation, labor
organization, or association aimed at its
employees, members, owners, stockholders,
executive administrative personnel, or their
families;
(C) uncompensated services provided by an
individual volunteering the individual's time; or
(D) a transfer of funds to another committee if
such transfer is not accepted; or
(E) any news story, commentary, or editorial
distributed through the facilities of any
broadcasting station, newspaper, magazine, or
other periodical publication, unless such facilities
are owned or controlled by any political party,
political action committee, candidate, candidate
committee or ballot measure committee.
"Expenditures incurred" means an amount owed
to a creditor for purchase of delivered goods or
completed services.
"Family" means an individual, his or her spouse, if
any, and all children under the age of eighteen (18)
years residing in the same household.
"Filer" means an individual who is required to file a
report or statement pursuant to this title.
"Gift" means "anything of value", as defined in this
section, to the extent that consideration of equal or
greater value is not received in exchange therefor.
"Governmental entity"
(1) means any department, commission,
authority, council, board, bureau, committee,
legislative body, agency, state beneficial public
trust, or other establishment of the executive,
legislative or judicial branch of the State of
Oklahoma.
(2) shall not mean entities of political subdivisions
of the State of Oklahoma.
"Immediate family" means a child under the age of
eighteen (18) years residing in a state officer's or state
employee's household, a spouse of a state officer or
state employee, and an individual claimed by the state
officer or state employee or the state officer's or state
employee's spouse as a dependent for tax purposes.
"Income" means any money or thing of value
received, or to be received as a claim on future
services, whether in the form of a fee, salary, gift,
expense, allowance, forbearance, forgiveness,
interest, dividend, royalty, rent, capital gain, or any
other form of recompense or any combination thereof;
provided, the term "income" shall not include campaign
contributions.
"Independent expenditure" means an expenditure
made by a person to advocate the election or defeat of
a clearly identified candidate or candidates or a ballot
measure or ballot measures, but which is not made to,
controlled by, coordinated with, requested by, or made
upon consultation with a candidate, committee,
treasurer, deputy treasurer or agent of a candidate
committee or a ballot measure committee.
"In-kind contribution or expenditure" means
goods or services provided to or by a person at no
charge or for less than their fair market value, but shall
not include services provided by a volunteer.
“Judicial office” means all elective offices for
district judge, associate district judge and offices for
19 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-2
which declarations of candidacy are filed with the
secretary of state.
"Legislation" means a bill, resolution, amendment,
nomination or other matter pending in either house of
the Legislature; any other matter which may be the
subject of action by either house of the Legislature,
including the introduction, consideration, passage,
defeat, approval or veto of the matter; or any matter
pending in or which may be the subject of action by a
constitutional convention.
"Loan" means a transfer of money, property,
guarantee, or anything of value in exchange for an
obligation, conditional or not, to repay in whole or part.
"Lobbying", or any derivative of the word thereof,
means any oral or written communication with a
member of the Legislature or with the Governor or with
a member of the judiciary or with an employee of the
Legislature or the Governor or the judiciary on behalf
of a lobbyist principal with regard to the passage,
defeat, formulation, modification, interpretation,
amendment, adoption, approval or veto of any
legislation, rules, regulation, executive order or any
other program, policy or position of the state
government; provided, however, it shall not mean
testimony given before, or submitted in writing to, a
committee or subcommittee of the Legislature, nor a
speech, article, publication or other material that is
widely distributed, published in newspapers,
magazines or similar publications or broadcast on
radio or television; provided further, it shall not mean
representation of himself or a client by an attorney,
acting in a professional capacity as an attorney, in a
court proceeding or quasi-judicial proceeding.
"Lobbyist" means any individual who is employed
or retained by another for financial or other
compensation to perform services that include
lobbying, other than an individual whose lobbying
activities are only incidental to, and are not a significant
part of, the services provided by such individual to the
client, except as exempted by Section 4228 of Title 74
of the Oklahoma Statutes or as it may hereafter be
renumbered or recodified.
"Lobbyist principal" means any person who
employs or retains another person for financial or other
compensation to conduct lobbying activities on behalf
of the lobbyist principal; provided, however, it shall not
mean any individual members, partners, officers or
shareholders of a corporation, association, firm, joint
venture, joint stock company, syndicate, business
trust, estate, trust, company, partnership, limited
partnership, organization, committee, or club, or a
group of persons who are voluntarily acting in concert.
"Official action" means any judicial, executive,
legislative or administrative action which shall include,
but is not limited to, the promulgation of rules and
regulations and the setting of rates.
"Organization" means a:
(1) labor organization;
(2) collective bargaining organization;
(3) local, state, or national organization to which
a labor organization pays membership or per capita
fees, based upon its affiliation and membership; or
(4) trade or professional association that receives
its funds exclusively from membership dues or
service fees, whether organized inside or outside
the state.
“Out-of-state”, with respect to a committee or
person, means that the committee or person expends
funds to influence an election to a partisan political
office outside the State of Oklahoma and that, in the
twelve-month period preceding the funding of an
independent expenditure or elec tioneering
communication in this state, seventy-five (75%) or
more of the committee’s or person’s total funding spent
was spent on elections outside the State of Oklahoma
or on federal elections.
"Participation" includes decision, approval,
disapproval, recommendation, the rendering of advice,
or vote.
"Particular matter" includes a judicial or other
proceeding, application, request for a ruling or other
determination, contract, claim, controversy, inquiry,
investigation, charge, accusation, arrest, rulemaking,
or legislation.
"Party committee" means a political party or any
affiliated or connected entity.
"Person" means an individual, corporation, limited
liability company, association, proprietorship, firm,
partnership, limited liability partnership, limited
partnership, joint venture, joint stock company,
syndicate, business trust, estate, trust, company,
organization, committee, or club, or a group of persons
who are voluntarily acting in concert.
"Political action committee"
(1) means a combination of at least two
individuals, or a person other than an individual:
(A) with the primary purpose of:
(i) expressly supporting or opposing a
clearly identified candidate or candidates, or
a party committee, except those required to
file with the Federal Election Commission, or
(ii) supporting or opposing a ballot
measure; and
(B) which accepts or gives contributions or
makes expenditures from a joint account
aggregating at least five hundred dollars ($500)
during a calendar year.
(2) does not include:
(A) a party committee or a candidate
committee;
(B) a person other than an individual, when
that person makes an expenditure or
expenditures from an account to which
contributions have not been solicited or accepted
from any other persons or individuals; and, the
expenditure or expenditures are required by
74, Ch. 62, App. STATE GOVERNMENT 20
257:1-1-2 ETHICS COMMISSION RULES O.S. 2011
these rules to be reported by the recipient
committee or committees as a contribution or
contributions;
(C) a combination of individuals, or a person
other than an individual, if the combination of
individuals, or a person other than an individual,
solicits contributions on behalf of a committee;
and, any contributions received as a result of the
solicitation are forwarded to the committee
without being deposited in any account; and, the
contributions are required by these rules to be
reported by the committee that receives the
contributions;
(D) a corporation; or
(E) a labor union.
"Political party" means any political party so
recognized for the purpose of having candidates
appear on the ballot.
"Public member" means a member appointed to
a compensated or uncompensated part-time position
on a board, commission, council, authority, bureau,
committee, state beneficial public trust, or other
establishment of the executive, legislative or judicial
branch of the State of Oklahoma.
(1) A public member does not lose this status by
receiving reimbursement of expenses or a per diem
payment for services.
(2) A public member does not include:
(A) members of advisory bodies to the
legislative, executive, or judicial branch of state
government;
(B) Postadjudication Review Board members
appointed pursuant to Section 1116.2 of Title 10
of the Oklahoma Statutes;
(C) board members of guaranty associations
created pursuant to state statute; and
(D) precinct inspectors, judges, clerks and
counters.
"Registered lobbyist" means a person that has
filed as a lobbyist with the Commission.
"Represent" or "representation" means any
formal or informal attendance before, or any written or
oral communication with, or the filing of documents
with any governmental entity on behalf of a person or
organization whether gratuitous or for compensation.
"Securities" means evidences of debts, property or
obligations to pay money or of rights to participate in
earnings and distribution of corporate trust, and other
property, including but not limited to, stocks, bonds,
notes, convertible debentures, warrants, or other
documents that represent a share in a company or a
debt owed by a company.
"State employee"
(1) means:
(A) an elective or appointed officer or an
employee of any governmental entity, except
members of the House of Representatives or
State Senate; and
(B) an employee, other than an adjunct
professor, in the service of an institution of
higher education comprising the Oklahoma State
System of Higher Education.
(2) does not mean a public member.
"State office" means all elective offices for which
declarations of candidacy are filed with the Secretary
of the State Election Board.
"State officer" means an elective, appointed or
employed officer, including a public member, in the
executive, judicial or legislative branch of the State of
Oklahoma.
"Substantial financial interest"
(1) means and includes, but is not limited to:
(A) an interest that could result in directly or
indirectly receiving a substantial pecuniary gain
or sustaining a substantial pecuniary loss as a
result of a person’s ownership or interest in a
business entity, or as a result of a person’s
salary, gratuity or other compensation or
remuneration from any person, partnership,
organization or association.
(B) An ownership interest in a private
business, closely held corporation or limited
liability company for which the person or the
person’s immediate family member is a director,
officer, owner, manager, employee, or agent or
any private business, closely held corporation or
limited liability company in which the person or
the person’s immediate family member owns or
has owned stock, another form of equity interest,
stock options, debt instruments, or has received
dividends, worth one thousand dollars
($1,000.00) or more at any point during the
preceding calendar year;
(C) An ownership interest of five percent (5%)
or more in a publicly held corporation by a
person or the person’s immediate family
member;
(D) An ownership interest in a publicly held
corporation from which dividends of one hundred
thousand dollars ($100,000.00) or more were
derived during the proceeding calendar year by
the person or the person’s immediate family
member; or
(E) An interest which arises as a result of the
person’s or the person’s immediate family
member’s service as a director, officer,
representative, agent or employee of a publicly
held corporation within the preceding calendar
year.
(2) The term “substantial financial interest” shall
not be construed to include:
(A) An interest in a mutual fund or other
community investment vehicle in which the
person or the person’s immediate family member
exercises no control over the vehicle’s
acquisition or sale of particular holdings; or
21 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-5
(B) An interest in a pension plan, 401k, IRA or
other retirement investment vehicle in which the
person or the person’s immediate family member
exercises no control over the vehicle’s
acquisition or sale of particular holdings.
"Surplus funds" arise:
(1) when a candidate committee has an
unexpended balance of funds not otherwise
obligated for the purposes specified in Paragraph
(1) of Subsection (a) of Section 20 of Chapter 10 of
this title; or
(2) when a committee formed to support or
oppose a ballot measure has an unexpended
balance of funds not otherwise obligated for any
campaign expenditure; or
(3) when a committee, other than a candidate
committee or a ballot measure committee, has an
unexpended balance of funds not otherwise
obligated to further the committee's purposes.
"Transfer" means the movement or exchange of
anything of value between committees, except the
disposition of surplus funds or material assets by a
candidate committee to a party committee in
accordance with the dissolution procedure in Sections
19 and 20 of Chapter 10 of this title.
Amended Laws 1995. Amended Laws 1997. Amended Laws
1998. Amended Laws 1999. Amended Laws 2000. Amended Laws
2001. Amended Laws 2002. Amended Laws 2003. Amended Laws
2005. Amended Laws 2006. Amended Laws 2007. Amended Laws
2008. Amended Laws 2009. Amended Laws 2010. Amended Laws
2011.
257:1-1-3. Office and hours–Filing requirements
(a) The principal office of the Ethics Commission is
in B-5 State Capitol Building, Oklahoma City,
Oklahoma 73105. The Office is open 8:00 a.m. to
5:00 o'clock p.m. each business day.
(b) Except as otherwise provided by Sections 15 and
16 of Chapter 10 of this title, in order to be deemed
timely filed, reports, registrations, statements or any
other documents required to be filed with the
Commission must be received by the Commission by
hand, mail, facsimile transmission, telegram or
express delivery service not later than 5:00 o'clock
p.m. on the day specified for filing.
(c) Except as otherwise specified by Sections 15
and 16 of Chapter 10 of this title, any act authorized,
required, or permitted to be performed on a day other
than a business day may be performed on the next
succeeding business day, and no liability or loss of
rights of any kind shall result from such delay.
Amended Laws 1995.
257:1-1-4. Prohibited acts
(a) No member or employee of the Commission,
during the period of such membership or employment,
shall:
(1) hold or campaign for state or local office;
(2) be an officer of any committee;
(3) permit his name to be used, or make
contributions, in support of or in opposition to any
candidate or proposition;
(4) participate in any way in any election
campaign; provided, a member or employee of the
Commission shall retain the rights to register and
vote in any election, to express his opinion privately
on political subjects or candidates, to participate in
the activities of a civic, community, social, labor or
professional organization and to be a member of a
political party or committee;
(5) lobby or assist a lobbyist, except as otherwise
permitted in these rules; provided a member or
employee of the Commission may lobby on matters
directly affecting the Act or its rules promulgated
pursuant to Article XXIX of the Oklahoma
Constitution;
(6) sell or cause to be sold, rent or lease either as
an individual or through any nonpublicly traded
business enterprise in which he holds a substantial
financial interest, goods, services, buildings or
property to the state or any county except by
condemnation or threat of condemnation. A
member or employee of the Commission holding a
substantial financial interest in a business
enterprise shall disqualify himself in any proceeding
in which such interest might cause his impartiality to
be reasonably questioned pursuant to the
provisions of Section 5 of this chapter;
(7) be employed by the state or any county in any
other capacity, whether or not for compensation;
(8) receive or agree to receive compensation for
representing or assisting any person or business in
any transaction involving the state or any county,
except a court of law, or represent another person,
firm, corporation or entity for a fee before any
governmental entity, except a court of law; or
(9) represent any person as an attorney before
the Commission, provided that an employee of the
Commission may act as a lawyer before the
Commission in the course of the employee's official
duties.
(b) Nothing in this section shall prohibit members or
employees of the Commission from performing the
functions permitted under this title.
257:1-1-5. Conflicts of interest
(a) Disqualification. A member of the Ethics
Commission shall disqualify himself or be disqualified
by the Commission in a proceeding in which his
impartiality might reasonably be questioned, including
but not limited to, instances where:
(1) the member has a personal bias or prejudice
concerning a party, or personal knowledge of
disputed evidentiary facts concerning the
proceeding;
(2) the member knows that he or his spouse or
child has an interest in the subject matter in
74, Ch. 62, App. STATE GOVERNMENT 22
257:1-1-5 ETHICS COMMISSION RULES O.S. 2011
controversy or in a party to the proceeding that
could be substantially affected by the outcome of
the proceeding;
(3) the member or his spouse or a person within
the third degree of consanguinity to either of them
or the spouse of such person:
(A) is a party to the proceeding, or an officer,
director, or trustee of a party;
(B) is known by the member to have an
interest that could be substantially affected by
the outcome of the proceeding; or
(C) is to the member's knowledge likely to be
a material witness in the proceeding; or
(4) the member's spouse or a person within the
third degree of consanguinity to either of them or
the spouse of such person is representing any
person as an attorney in the proceeding.
(b) Knowledge of financial interests. A member
of the Commission shall inform himself about his
personal and fiduciary financial interests and make a
reasonable effort to inform himself about the personal
financial interests of his spouse and children.
257:1-1-6. Powers and responsibilities of
Commission
(a) Election of officers. In October of each year, or
at the next Commission meeting after September, the
Commission shall choose a chair and vice chair from
among themselves. No member shall serve more than
one consecutive year as chair.
(b) Repository. The Commission shall serve as the
official repository for statements of financial interests,
statements of organization, last minute contributions
reports, last minute independent expenditures reports,
statements of inactivity, campaign contributions and
expenditures reports, lobbyist expenditure reports and
such other documents filed by committees, state
officers, state employees, lobbyists and other persons
as pertain to its duties.
(c) Voluntary filings. The Commission shall accept
and file any information voluntarily supplied that
exceeds the requirements of this title; provided, the
Commission shall not require the disclosure of any
information other than as specifically provided by this
title or which helps identify the filer or committee.
(d) Distribution of forms. The Commission shall
distribute, and make available for downloading from its
website, forms upon which information shall be
provided as required by this title and copies of Article
XXIX of the Oklahoma Constitution and this title to the
persons required to submit forms to all candidates,
committees, officers, and employees required to
submit or electronically transmit such forms.
(e) Review of statements. The Commission shall
review a random sample of registrations, reports and
statements filed in accordance with this title for
compliance with its provisions and notify the individual,
if a candidate, or treasurer or, in the treasurer's
absence, the deputy treasurer, if a committee other
than a candidate committee, on whose behalf the
report or statement is filed, or filer of any material
omission or deficiency.
(f) Availability of public records. The
Commission shall make all registrations, reports and
statements filed with it available to the public during
regular business hours, subject to the Open Records
Act, Section 24A.1 et seq. of Title 51 of the Oklahoma
Statutes, within two (2) business days of receipt. No
original or record copies of reports, registrations or
statements shall be removed from the office of the
Commission. No information or identification shall be
required by the Commission as a condition of viewing
or copying a registration, report or statement which is
available to the public.
(g) Preservation of documents. The Commission
shall preserve such reports, registrations and
statements in accordance with the Records
Management Act, Section 201 et seq. of Title 67 of the
Oklahoma Statutes, or for a period of at least five (5)
years from date of receipt.
(h) Ethics interpretations. The Commission may,
in its discretion and where appropriate, issue ethics
interpretations pertaining to the provisions of this title
when requested by any person or committee who may
be subject to the jurisdiction of the Commission.
Before issuing an ethics interpretation, the
Commission shall announce its consideration of an
ethics interpretation at a meeting of the Commission,
provide interested persons with a copy of the request
for the ethics interpretation with sufficient deletions to
prevent the disclosure of the identity of the person or
persons involved in the situations presented in the
request for the ethics interpretation, schedule and
provide notice of a hearing on the request no fewer
than thirty (30) days after the announcement and
accept both written and oral comments on the request
at the hearing. At least five (5) days before the
hearing, Commission staff comments and/or draft
ethics interpretations shall be made available to the
public for comment. Should the Commission
determine that a request requires a response more
quickly than the notice and hearing would permit, the
Commission may issue a confidential “emergency
opinion” without notice and a hearing, and such an
emergency opinion shall apply only to the person
making the request and shall be limited to the specific
fact situation included in the request. Notwithstanding
the issuance of such an emergency opinion, the
request for an ethics interpretation shall be scheduled
for notice and hearing, the same as any other request.
If the ethics interpretation thereafter adopted is
different than the emergency opinion, the ethics
interpretation shall be given prospective effect. The
Commission shall make all ethics interpretations
issued available to the public within thirty (30) days of
the date of issuance. Provided, failure of a person to
23 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-7
request an ethics interpretation shall have no
relevance in any subsequent proceeding under this
title involving such person. Provided further, such
interpretation shall be binding on the Commission in
any subsequent proceeding under this title. The
Commission shall publish its ethics interpretations
annually; provided that sufficient deletions shall be
made by the Commission in published ethics
interpretations or ethics interpretations made available
to the public to prevent the disclosure of the identity of
the person or persons involved in the situations
presented in the ethics interpretations. The executive
director or the general counsel may issue informal
written opinions, as time permits and with the prior
approval of the chair or vice chair, pertaining to the
provisions of this title on questions that are susceptible
to a single analysis by the clear language of the rule
and are not the subject of litigation, investigation or
legislation. The Commission shall publish informal
written opinions annually; provided that sufficient
deletions shall be made by the Commission in
published informal written opinions or informal written
opinions made available to the public to prevent the
disclosure of the identity of the person or persons
involved in the situations presented in the informal
written opinions. If the matter is subject to more than
one analysis, the executive director or general counsel
may give an oral opinion but shall inform the petitioner
of the dual analysis and the need to request a formal
ethics interpretation and shall provide the Commission
with an account of the question or questions asked and
the rule provision or provisions to which they pertain.
(i) Hearings and subpoenas. The Commission
shall, pursuant to this title and as specifically
authorized by law, hold hearings, subpoena witnesses
upon a vote of a majority of the members of the
Commission, and compel their attendance and
testimony, administer oaths and affirmations, take
evidence, and require by subpoena the production of
any books, papers, records, or other items relevant to
the performance of the Commission's duties or
exercise of its powers.
(j) Investigations. The Ethics Commission shall
conduct investigations and hearings concerning
alleged violations of its rules governing ethical conduct
for campaigns for elective state office, campaigns for
initiatives and referenda and for ethical conduct of
state officers and state employees and certify its own
acts and records and determine whether to investigate
and act upon an allegation.
(k) Prosecution. The Commission shall, when it
deems appropriate, prosecute in the district court of
the county where the violation occurred violations of
the provisions of this title governing ethical conduct of
campaigns, state officers, state employees, and
lobbyists. Where uncertainty exists as to the county in
which the violation occurred, the Commission may
prosecute in any county in which the evidence
indicates the violation might have been committed.
(l) Settlement. The Commission may settle
allegations or investigations and accept payment of
fines without court order. Fines paid shall be deposited
with the State Treasurer to the credit of the General
Revenue Fund of the State of Oklahoma.
(m) Promulgate constitutional rules. After public
hearing, the Commission shall promulgate rules of
ethical conduct for campaigns for elective state office,
for campaigns for initiatives and referenda and for
state officers and employees, including civil penalties
for violation of those rules, pursuant to the provisions
of Section 3 of Article XXIX of the Oklahoma
Constitution. An amendment, which is not sponsored
by a commissioner, shall not be included in the draft of
amendments subject to a final vote of the Commission.
(n) Annual Report. No later than December 1 of
each year, the Commission shall report to the five
appointing authorities on the Commission's activities in
the preceding fiscal year. The report shall contain the
names and duties of each individual employed by the
Commission and a summary of Commission
determinations and ethics interpretations. The
Commission shall prevent disclosure of the identity of
a person involved in investigations, complaints or
ethics interpretations. The report may contain other
information on matters within the Commission's
jurisdiction and recommendations for legislation as the
Commission deems desirable.
(o) The Ethics Commission may take other actions
it deems appropriate to fulfill its constitutional or
statutory duties.
Amended Laws 1995. Amended Laws 1996. Amended Laws
1997. Amended Laws 1998. Amended Laws 2003. Amended Laws
2004. Amended Laws 2007. Amended Laws 2009.
257:1-1-7. Forms and publications
The Executive Director shall devise or
designate forms and form software and publications to
conform with this title, subject to the approval of the
Commission, which shall include, but not be limited to,
the following forms and publications and shall make
such forms, form software and publications available
to the public:
(1) Copy of Article XXIX of the Oklahoma
Constitution and this title;
(2) Statement of organization;
(3) Campaign contributions and expenditures
report;
(4) Request for rule adoption, amendment or
repeal;
(5) Statement of inactivity;
(6) Last minute contributions report;
(7) Last minute independent expenditures report;
(8) Contributor statement;
(9) Statement of financial interests;
(10) Lobbyist or other person gift report;
74, Ch. 62, App. STATE GOVERNMENT 24
257:1-1-7 ETHICS COMMISSION RULES O.S. 2011
(11) Request for ethics interpretation;
(12) Prohibited acts of classified state employees;
and
(13) Notices, instructions, and educational
manuals for filling out forms and complying with this
title.
Amended Laws 1996.
257:1-1-8. Availability of documents
(a) Documents shall be available to the public for
inspection between 8:00 a.m. and 5:00 o'clock p.m. on
business days.
(b) Persons wishing to photocopy documents in the
custody of the Ethics Commission may do so in
accordance with provisions of the Open Records Act.
Photocopies of documents may be made upon
payment of twenty-five cents ($.25) per page for each
page of a document requested. The Executive
Director may, in his or her discretion, require additional
fee payment, as provided in the Open Records Act, to
recover and photocopy documents requested.
257:1-1-9. Request for ethics interpretation
(a) Any person who may be subject to the
jurisdiction of the Commission, may request in writing
an interpretation regarding the application of such rule
to the facts or hypothetical set of facts furnished with
the inquiry. Such request may be in the form of a
petition for ethics interpretation. The petition shall
state fully the facts of the situation of the requesting
party as are or may be pertinent to the rule. Such
person may request the assistance of the
Commission's staff in complying with the requirements
of this section. The Commission may respond, in its
discretion and where appropriate, to such questions by
assigning the request or inquiry to administrative staff
for review. Thereafter, the Commission may make a
final determination of the interpretation. The
interpretation of the rule will be furnished in writing to
the person making the request.
(b) The Commission shall not issue ethics
interpretations on matters it knows to be the subject of
pending investigation, litigation or legislation.
(c) The petition shall be in substantially the following
form:
BEFORE THE ETHICS COMMISSION
In the matter of the petition No. (to be
for Ethics Interpretation assigned by
of staff)
PETITION FOR ETHICS INTERPRETATION
, a person who may be subject
(Name of Petitioner)
to the jurisdiction of the Commission states:
The facts upon which this petition is based are as
follows:
(State facts in general terms and explain why question exists.)
WHEREFORE, petitioner requests that the
Commission review this petition and make a final
determination of the interpretation requested and
provide the interpretation in writing to petitioner.
PETITIONER
DATE:
257:1-1-10. Request for rule adoption,
amendment or repeal
All interested persons may ask the Commission to
adopt, amend or repeal a rule; such request shall be in
writing and filed with the Commission. The request
shall set forth fully the reasons for its submission; the
alleged need or necessity therefor, whether or not the
proposal conflicts with any existing rule, and what, if
any, statutory provisions are involved. Such persons
may request the assistance of the Commission's staff
in complying with the requirements of this section.
Such request shall be considered by the Commission
and, if approved, notice shall be given that such
proposal will be formally considered for adoption. If,
however, it is initially determined that the proposal or
request is not a necessary adoption, amendment or
repeal, the same shall be refused and the decision
reflected in the records of the Commission. A copy
shall be sent to the interested person who submitted
the request.
BEFORE THE ETHICS COMMISSION
In the matter of the No. (to be
petition for Rule assigned
(Adoption, Amendment or by staff)
Repeal)
PETITION FOR RULE (ADOPTION,
AMENDMENT OR REPEAL)
, an interested person,
(Name of Petitioner)
requests that the Commission
(adopt, amend or repeal)
25 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:1-1-11
the following:
(if a request to adopt, amend or repeal, set out Rule in
question)
WHEREFORE, petitioner requests that the
Commission consider this petition and approve the
proposal submitted.
PETITIONER
DATE:
257:1-1-11. Misc e l lan eo u s c iv il penalty
provisions
(a) Civil penalties for violations of title. The
Commission may recommend to the district court, and
the district court, upon finding that a respondent has
violated a provision of this title, may assess one of the
following penalties:
(1) Civil penalties for non-willful violations. A
person who violates a provision of this title shall be
liable for a civil penalty:
(A) not to exceed one thousand dollars
($1,000) per violation for inadvertent disclosure
violations in registrations, reports or statements
filed under Chapters 10, 15, 20 and 23;
(B) not to exceed two thousand dollars
($2,000) per violation,
(i) for inadvertent failure to file
registrations, reports, statements or changes
in information relating to committee officer
vacancies, or
(ii) for inadvertent non-disclosure violations;
(C) for inadvertent violations not included in
Subparagraphs (A) or (B), not to exceed:
(i) fifteen thousand dollars ($15,000) per
violation, or
(ii) an amount up to three (3) times the
amount of the total amount of an unlawful
contribution or expenditure, whichever is
greater; and
(2) Civil penalties for willful violations. A
person who willfully violates a provision of this title
shall be liable for one or more of the following civil
penalties:
(A) Fine. A fine not to exceed fifty thousand
dollars ($50,000);
(B) Administrative debarment. In the case of
a state officer or state employee who has
violated Chapter 20 of this title, the person may
be prohibited, for not more than five (5) years,
from making an oral or written communication or
appearance before, with the intent to influence,
the governmental entity in which the former
officer or employee served;
(C) Censure, suspension or removal from
office. In the case of a:
(i) state officer liable to impeachment, a
recommendation to the House of
Representatives that the officer be removed
from office.
(ii) state officer not subject to impeachment
or a state employee in the classified or
unclassified service, a recommendation to the
appropriate appointing authority that the state
officer or state employee be censured,
suspended, or removed from office or
employment.
(iii) member of the state legislature, a
recommendation to the presiding officer of the
appropriate chamber of the legislature that
the legislator be censured or subject to
expulsion from office.
(iv) judge not subject to impeachment, a
recommendation to the Oklahoma Supreme
Court that the judge be censured or removed
from office.
(3) Third and subsequent violations. A person
who violates a provision of this title three or more
times shall be liable for a fine not to exceed:
(A) twenty-five thousand dollars ($25,000) per
violation for inadvertent violations or fifty
thousand dollars ($50,000) for willful violations,
or
(B) an amount up to three (3) times the
amount of the total amount of an unlawful
contribution or expenditure, whichever is greater.
(4) For violations relating to or arising out of
a candidacy. The Commission may recommend
and the district court may, upon determination of a
violation of a provision of Chapter 10 of this title,
require the candidate, elective officer, or committee
to:
(A) forfeit a prohibited contribution or the
excessive portion of a contribution to be
deposited with the State Treasurer to the credit
of the General Revenue Fund; or
(B) return a prohibited contribution or the
excessive portion of a contribution to the original
contributor.
(5) For violations of Chapter 20 or 23. The
Commission may recommend and the district court
may, upon determination of a violation of a provision
of Chapter 20 or 23 of this title, subject the officer,
employee, or lobbyist to the following:
(A) forfeiture of gifts, receipts or profits
obtained through a violation of Chapter 20 or 23
of this title;
74, Ch. 62, App. STATE GOVERNMENT 26
257:1-1-11 ETHICS COMMISSION RULES O.S. 2011
(B) voiding of a state action obtained through
a violation of the Commission's rules;
(C) civil penalties as set forth in this
subsection; or
(D) a combination of the penalties provided for
in this paragraph.
(b) Action by other governmental entities.
Nothing in this section shall prevent a governmental
entity from conducting its own investigation or taking its
own disciplinary action as provided by law with respect
to a violation committed by an officer or employee of
such governmental entity.
(c) Penalties to General Revenue Fund. A
forfeiture, fine, reimbursement, penalty, or other
property collected by the Commission as a penalty
under this title shall be deposited with the State
Treasurer to the credit of the General Revenue Fund.
Tangible personal property other than money collected
as a penalty or assessment under this title shall be
deposited with and liquidated by the State Treasurer
and the proceeds thereof deposited to the credit of the
General Revenue Fund.
(d) Liability. If two (2) or more persons are
responsible for an inadvertent violation, they shall be
equally liable for a proportionate share of the penalty.
If two (2) or more persons are responsible for a willful
violation, they shall be jointly and severally liable for
said penalty.
Amended Laws 1995. Amended Laws 2010, House Bill 2408,
§ 3, emerg. eff. July 1, 2010.
257:1-1-12. D i s c lo s u r e o f c o n f id e n t i a l
information
If the Commission, upon a vote of a majority of the
members serving, determines that any information or
record made confidential by the provisions of this title
has been disclosed by a member or employee of the
Commission, it shall immediately request that:
(1) the member voluntarily resign from the
Commission, or
(2) the employee be terminated.
257:1-1-13. Effective date of this chapter
The effective date of this chapter was July 1, 1994.
The effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 6, 1995 was July 1, 1995. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 6, 1996 was July 1, 1996. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 3, 1997 was July 1, 1997. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 3, 1998 was July 1, 1998. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 1, 1999 was July 1, 1999. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 8, 2000 was July 1, 2000. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 5, 2001 was July 1, 2001. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 5, 2002 was July 1, 2002. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 3, 2003 was July 1, 2003. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 3, 2004 was July 1, 2004. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 7, 2005 shall be July 1, 2005.
The effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 7, 2006 was July 1, 2006. The
effective date of the amendments to this chapter
submitted to each House of the Legislature and to the
Governor on February 5, 2007 and House Bill 2110
was July 1, 2007. The effective date of the
amendments to this chapter submitted to each House
of the Legislature and to the Governor on February 5,
2008 was July 1, 2008. The effective date of the
amendments to this chapter submitted to each House
of the Legislature and to the Governor on February 2,
2009 was July 1, 2009. The effective date of the
amendments to this chapter submitted to each House
of the Legislature and to the Governor on February 2,
2010, was July 1, 2010. The effective date of the
amendments to this chapter submitted to each House
of the Legislature and to the Governor on February 7,
2011, shall be July 1, 2011.
Amended Laws 1995, Amended Laws 1996. Amended Laws
1997. Amended Laws 1998. Amended Laws 1999. Amended Laws
2000. Amended Laws 2001. Amended Laws 2002. Amended Laws
2003. Amended Laws 2004. Amended Laws 2005. Amended Laws
2006. Amended Laws 2007. Amended Laws 2008. Amended Laws
2009. Amended Laws 2010, including House Bill 2408, emerg. eff.
July 1, 2010. Amended Laws 2011.
257:1-1-14. Applicability of rules
The rules of this chapter are adopted pursuant to
Article XXIX of the Oklahoma Constitution. The partial
or total invalidity of any section or sections of this
chapter, found by a court of competent jurisdiction,
shall not affect the valid sections.
27 STATE GOVERNMENT 74, Ch. 62, App.
O.S. 2011 ETHICS COMMISSION RULES 257:10-1-2
CHAPTER 10.
CAMPAIGN REPORTING
Section
257:10-1-1. General purpose and authority
257:10-1-2. Contributions
257:10-1-3. Use of public funds, property, time, and
personnel to influence elections
257:10-1-4. Classified employees' political activity
257:10-1-5. Solicitation of and contributions by state
employees
257:10-1-6. Limitation on fundraisers in Oklahoma
County
257:10-1-7. Expenditures
257:10-1-8. Designation of candidate committees
257:10-1-9. Committee officers and agents
257:10-1-10. Campaign depositories and campaign
accounts
257:10-1-11. Registration requirements
257:10-1-12. Statement of organization
257:10-1-13. Required reports of contributions and
expenditures
257:10-1-14. Report contents
257:10-1-15. Report of last minute
contributions/receipts
257:10-1-16. Report of last minute independent
expenditures
257:10-1-17. Notification of filing obligation
257:10-1-18. Report filing requirements
257:10-1-19. Dissolution procedures
257:10-1-20. Use of campaign contributions and use
of surplus funds
257:10-1-21. Effective date of this chapter
257:10-1-22. Applicability of rules
257:10-1-1. General purpose and authority
The rules of this c